SEC Form 4 · accession 0001144204-15-029470
Alcentra Capital Corp · ABDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Hatfield
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 | — | — | — | 7,382 | 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 | 40,243 | A | Feb 28, 2018 | Feb 28, 2018 | Common Stock | 40,243 | 40,243 | D |
Explanation of responses
- F1Includes 7,255 shares previously held through BNY Mellon Alcentra Mezzanine III, L.P. which were distributed to the reporting person on December 31, 2014 and are now owned directly. Includes 126.623099 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.