SEC Form 4 · accession 0001144204-15-029469
Alcentra Capital Corp · ABDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Echausse
Officer — President & CEO · Director
Period of report
May 8, 2015
Accepted (ET)
May 11, 2015 · 6:20 pm 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 | holding | — | — | — | 62,746 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF2 | — | May 8, 2015 | P | 4,332 | A | Feb 28, 2018 | Feb 28, 2018 | Common Stock | 4,332 | 4,332 | D |
Explanation of responses
- F1Includes 1,406.90098 shares received on April 6, 2015 through participation in a dividend reinvestment plan of the Issuer.
- F2Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock.