SEC Form 4 · accession 0001144204-15-024194
Alcentra Capital Corp · ABDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 20, 2015
Accepted (ET)
Apr 22, 2015 · 10:08 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001578620
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 20, 2015 | P | 5,000 | $13.9598 | A | 1,595,533 | I | See footnote |
| Common StockF2 | Apr 21, 2015 | P | 4,175 | $13.8503 | A | 1,599,708 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,056 of these shares were acquired by Alcentra NY LLC and 3,944 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.
- F2882 of these shares were acquired by Alcentra NY LLC and 3,293 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.