SEC Form 4 · accession 0001144204-17-058588
Alcentra Capital Corp · ABDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Echausse
Director
Period of report
Nov 9, 2017
Accepted (ET)
Nov 14, 2017 · 7:08 am EST
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 | Nov 9, 2017 | S | 10,000 | $7.45 | D | 58,946 | D | |
| Common StockF1 | Nov 10, 2017 | S | 15,000 | $7.32 | D | 43,946 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $7.29 to $7.68, inclusive. The reporting person undertakes to provide to Alcentra Capital Corporation any security holder of Alcentra Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.