SEC Form 4 · accession 0001144204-17-059525
Alcentra Capital Corp · ABDC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
T Ulrich Brechbuhl
Director
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 9:04 pm 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 13, 2017 | P | 6,800 | $7.29 | A | 6,800 | D | |
| Common StockF2 | Nov 15, 2017 | P | 3,200 | $7.03 | A | 10,000 | 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 purchased in multiple transactions, each at a price of $7.29 per share. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Alcentra Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased in each transaction.
- F2The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions, each at a price of $7.03 per share, rounded to the nearest hundredth. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased in each transaction.