Filing Details
- Accession Number:
- 0001144204-15-024804
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-24 11:27:01
- Reporting Period:
- 2015-04-22
- Filing Date:
- 2015-04-24
- Accepted Time:
- 2015-04-24 11:27:01
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1578620 | Alcentra Capital Corp | ABDC | () | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1390777 | Bank Of New York Mellon Corp | One Wall Street New York NY 10286 | No | No | Yes | No | |
1629949 | Bny Alcentra Group Holdings, Inc. | 10 Gresham Street London X0 EC2V 7JD | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2015-04-22 | 7,934 | $13.78 | 1,607,642 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2015-04-23 | 3,974 | $13.82 | 1,611,616 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnote |
No | 4 | P | Indirect | See footnote |
Footnotes
- 1,675 of these shares were acquired by Alcentra NY LLC and 6,259 of these shares were acquired by Alcentra Ltd. pursuant to a Rule 10b5-1 trading plan adopted by them on March 23, 2015. Entities controlled by The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are the direct and indirect parent companies of Alcentra NY LLC and Alcentra Ltd. As a result, The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are each deemed to have an indirect pecuniary interest in the reported shares.
- 839 of these shares were acquired by Alcentra NY LLC and 3,135 of these shares were acquired by Alcentra Ltd. pursuant to a Rule 10b5-1 trading plan adopted by them on March 23, 2015. Entities controlled by The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are the direct and indirect parent companies of Alcentra NY LLC and Alcentra Ltd. As a result, The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are each deemed to have an indirect pecuniary interest in the reported shares.