SEC Form 4 · accession 0001144204-17-029228
Alcentra Capital Corp · ABDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
May 22, 2017
Accepted (ET)
May 24, 2017 · 11:09 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 | May 22, 2017 | S | 1,691,839 | $13.13 | D | 0 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Since the filing of the Reporting Persons' last filing on Form 4 and before the transaction reported herein, Alcentra NY, LLC and Alcentra Ltd. acquired 7,278 shares through the Issuer's Dividend Reinvestment Plan. 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.