SEC Form 4 · accession 0001144204-15-056794
Alcentra Capital Corp · ABDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alcentra Investments Ltd
10% Owner
Period of report
Sep 24, 2015
Accepted (ET)
Sep 28, 2015 · 4:28 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 StockF2 | Sep 24, 2015 | S | 1,475,620 | $12.89 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On September 24, 2015 Alcentra Investments Limited transferred 1,475,620 shares of the Issuer's common stock to Alcentra NY, LLC. Alcentra Investments Limited and Alcentra NY, LLC are wholly owned subsidiaries of BNY Alcentra Group Holdings, Inc. Such transfer was part of an internal restructuring by BNY Alcentra Group Holdings, Inc. and the purchase price for such transaction was used to reduce a liability owed by Alcentra Investments Limited to Alcentra NY, LLC.
- F2Includes 24,621 shares of the Issuer's common stock, received on April 6, 2015 through participation in a dividend reinvestment plan ("DRIP") of the Issuer, at a purchase price of approximately $13.976044 per share. Other than the reinvestment of such dividend, no consideration was paid by Alcentra Investments Limited to acquire such shares.