SEC Form 4 · accession 0001144204-16-090529
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
Mar 24, 2016
Accepted (ET)
Mar 28, 2016 · 1:01 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 Stock | Mar 24, 2016 | P | 800 | $11.45 | A | 65,946 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF1 | — | holding | — | — | — | Feb 28, 2018 | Feb 28, 2018 | Common Stock | 4,332 | 4,332 | D |
Explanation of responses
- F1Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock.