Company · CIK 0001390777 · SIC 6022 — State Commercial Banks · NYSE

Bank of New York Mellon Corp · BNY

Insider activity reported against this company. All insider holders · Files at: ABDC. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $159.0M · 11sales $1.26B · 54net −$1.10B

Open-market trades as an insider elsewherebuys $3.2M · 19sales $22.2M · 1net −$19.0M

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Feb 16, 2018 FForm 4 →	Feb 21, 4:55 pm EST	Douglas H. ShulmanSr. Executive Vice President	5,618	$56.25	$316,013	36,998	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:54 pm EST	Michael P. SantomassimoSr. Exec.VP & CFO	1,643	$56.25	$92,419	30,847	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:53 pm EST	J Kevin McCarthySEVP & General Counsel, Director	8,911	$56.25	$501,244	91,576	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:51 pm EST	Francis J. La SallaSr. Executive Vice President	3,397	$56.25	$191,081	56,481	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:39 pm EST	Kurtis R. KurimskyController	2,353	$56.25	$132,356	15,497	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:36 pm EST	Monique HerenaSr. Executive Vice President	6,048	$56.25	$340,200	86,206	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:32 pm EST	Mitchell E. HarrisSr. Executive Vice President	12,608	$56.25	$709,200	127,705	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:31 pm EST	Thomas P GibbonsVice Chairman	18,283	$56.25	$1,028,419	253,714	—	plan?
Feb 15, 2018 FForm 4 →	Feb 20, 4:48 pm EST	Bridget E. EngleSr. Exec. Vice President	32,705	$56.16	$1,836,713	106,974	—	plan?
Feb 9, 2018 AForm 4 →	Feb 13, 4:35 pm EST	Samuel C Scott IIIDirector	75	$50.62	$3,808	19,902	—	plan?
Feb 1, 2018 AForm 4 →	Feb 5, 4:54 pm EST	Jennifer B. MorganDirector	326	$57.50	$18,754	1,569	—	plan?
Feb 1, 2018 AForm 4 →	Feb 5, 4:53 pm EST	John M HinshawDirector	739	$57.50	$42,509	10,539	—	plan?
Feb 1, 2018 AForm 4 →	Feb 5, 4:51 pm EST	Jeffrey A GoldsteinDirector	739	$57.50	$42,509	12,691	—	plan?
Feb 1, 2018 AForm 4 →	Feb 5, 4:49 pm EST	Joseph EchevarriaDirector	1,000	$57.50	$57,513	12,950	—	plan?
Jan 13, 2018 FForm 4 →	Jan 17, 4:52 pm EST	Michael P. SantomassimoSr. Exec.VP & CFO	3,548	$58.42	$207,274	32,490	—	plan?
Dec 1, 2017 SForm 4 →	Dec 5, 4:17 pm EST	Thomas P GibbonsVice Chairman & CFO	38,152	$54.15	$2,066,049	271,850	−12.3%	plan?
Dec 1, 2017 MForm 4 →	Dec 5, 4:17 pm EST	Thomas P GibbonsVice Chairman & CFO	38,152	$34.63	$1,321,204	310,002	—	plan?
Nov 20, 2017 SForm 4 →	Nov 22, 4:08 pm EST	Edward P Garden +1Director	800,332	$52.59	$42,088,204	15,767,272	−4.83%	plan?
Nov 9, 2017 AForm 4 →	Nov 13, 4:28 pm EST	Samuel C Scott IIIDirector	78	$48.37	$3,789	19,827	—	plan?
Nov 3, 2017 SForm 4 →	Nov 7, 4:27 pm EST	Brian T SheaVice Chairman	22,228	$51.26	$1,139,378	181,815	−10.9%	plan?
Nov 1, 2017 SForm 4 →	Nov 3, 5:00 pm EDT	Gerald L HassellChairman of the Board, Director	24,280	$51.69	$1,254,917	10,000	−70.8%	plan?
Oct 20, 2017 SForm 4 →	Oct 24, 6:16 pm EDT	Edward P Garden +1Director	5,798,725	$52.42	$303,955,701	16,567,604	−25.9%	plan?
Oct 2, 2017 AForm 4 →	Oct 4, 4:37 pm EDT	Jennifer B. MorganDirector	256	$53.65	$13,750	1,237	—	plan?
Oct 2, 2017 AForm 4 →	Oct 4, 4:36 pm EDT	John M HinshawDirector	606	$53.65	$32,500	9,754	—	plan?
Oct 2, 2017 AForm 4 →	Oct 4, 4:35 pm EDT	Jeffrey A GoldsteinDirector	606	$53.65	$32,500	11,896	—	plan?
Oct 2, 2017 AForm 4 →	Oct 4, 4:34 pm EDT	Joseph EchevarriaDirector	885	$53.65	$47,500	11,894	—	plan?
Sep 1, 2017 AForm 4 →	Sep 6, 4:30 pm EDT	Bridget E. EngleSr. Exec. VP & CIO	139,679	$52.33	$7,309,402	139,679	—	plan?
Aug 16, 2017 SForm 4 →	Aug 18, 4:33 pm EDT	Brian T SheaVice Chairman	44,250	$52.90	$2,340,639	204,043	−17.8%	plan?
Aug 15, 2017 SForm 4 →	Aug 17, 4:32 pm EDT	Gerald L HassellChairman of the Board, Director	1,788	$53.04	$94,845	0	−100%	plan?
Aug 15, 2017 AForm 4 →	Aug 15, 4:32 pm EDT	Nicholas M DonofrioDirector	139	$49.74	$6,896	28,873	—	plan?
Aug 14, 2017 FForm 4 →	Aug 16, 4:33 pm EDT	Michelle M. NealManaging Director	5,406	$52.83	$285,599	77,068	—	plan?
Aug 11, 2017 AForm 4 →	Aug 15, 4:34 pm EDT	Samuel C Scott IIIDirector	76	$49.74	$3,771	19,749	—	plan?
Aug 9, 2017 SForm 4 →	Aug 11, 5:06 pm EDT	Edward P Garden +1Director	10,000,000	$53.09	$530,850,000	22,366,329	−30.9%	plan?
Aug 8, 2017 SForm 4 →	Aug 10, 4:36 pm EDT	Thomas P GibbonsVice Chairman & CFO	184,380	$53.95	$9,946,840	271,547	−40.4%	plan?
Aug 8, 2017 MForm 4 →	Aug 10, 4:36 pm EDT	Thomas P GibbonsVice Chairman & CFO	184,380	$42.31	$7,801,118	455,927	—	plan?
Aug 4, 2017 SForm 4 →	Aug 8, 5:22 pm EDT	Gerald L HassellChairman & Director, Director	700,719	$53.91	$37,775,920	872,606	−44.5%	plan?
Aug 4, 2017 MForm 4 →	Aug 8, 5:22 pm EDT	Gerald L HassellChairman & Director, Director	700,719	$36.81	$25,790,597	1,192,409	—	plan?
Aug 4, 2017 PForm 4 →	Aug 8, 5:20 pm EDT	Charles W ScharfChief Executive Officer, Director	186,900	$53.82	$10,058,106	223,640	+509%	plan?
Jul 17, 2017 AForm 4/A →	Jul 19, 7:23 pm EDT	Charles W ScharfChief Executive Officer, Director	36,740	—	—	36,740	—	plan?
Jul 17, 2017 AForm 4 →	Jul 19, 4:32 pm EDT	Charles W ScharfChief Executive Officer, Director	36,740	—	—	36,740	—	plan?
Jul 3, 2017 AForm 4 →	Jul 6, 5:07 pm EDT	Jennifer B. MorganDirector	265	$51.83	$13,750	976	—	plan?
Jul 3, 2017 AForm 4 →	Jul 6, 5:06 pm EDT	John M HinshawDirector	724	$51.83	$37,500	9,106	—	plan?
Jul 3, 2017 AForm 4 →	Jul 6, 5:05 pm EDT	Jeffrey A GoldsteinDirector	627	$51.83	$32,500	11,239	—	plan?
Jul 3, 2017 AForm 4 →	Jul 6, 5:05 pm EDT	Joseph EchevarriaDirector	916	$51.83	$47,500	10,958	—	plan?
May 12, 2017 AForm 4 →	May 16, 4:46 pm EDT	Samuel C Scott IIIDirector	67	$44.23	$2,972	19,673	—	plan?
May 12, 2017 AForm 4 →	May 16, 4:45 pm EDT	Nicholas M DonofrioDirector	123	$44.23	$5,436	28,735	—	plan?
May 10, 2017 SForm 4 →	May 12, 4:52 pm EDT	Mitchell E. HarrisSr. Executive Vice President	6,788	$47.10	$319,743	140,313	−4.61%	plan?
May 2, 2017 GForm 5 →	Feb 9, 2018, 4:33 pm EST	Gerald L HassellChairman of the Board, Director	86,745	—	—	798,849	—	plan?
May 2, 2017 SForm 4 →	May 4, 4:46 pm EDT	Brian T SheaVice Chairman	31,924	$47.02	$1,500,907	248,293	−11.4%	plan?
Apr 24, 2017 WForm 4 →	Aug 17, 4:32 pm EDT	Gerald L HassellChairman of the Board, Director	1,788	—	—	1,788	—	plan? late
Apr 24, 2017 SForm 4 →	Apr 26, 4:47 pm EDT	Thomas P GibbonsVice Chairman & CFO	102,174	$47.71	$4,874,527	271,416	−27.3%	plan?
Apr 24, 2017 SForm 4 →	Apr 26, 4:46 pm EDT	J Kevin McCarthySEVP & General Counsel, Director	10,000	$47.64	$476,400	100,487	−9.05%	plan?
Apr 3, 2017 AForm 4 →	Apr 5, 4:53 pm EDT	Jennifer B. MorganDirector	292	$47.13	$13,750	708	—	plan?
Apr 3, 2017 AForm 4 →	Apr 5, 4:52 pm EDT	John M HinshawDirector	583	$47.13	$27,500	8,349	—	plan?
Apr 3, 2017 AForm 4 →	Apr 5, 4:51 pm EDT	Jeffrey A GoldsteinDirector	690	$47.13	$32,500	10,569	—	plan?
Apr 3, 2017 AForm 4 →	Apr 5, 4:49 pm EDT	Joseph EchevarriaDirector	1,008	$47.13	$47,500	10,001	—	plan?
Mar 9, 2017 SForm 4 →	Mar 13, 4:45 pm EDT	Gerald L HassellChairman & CEO, Director	100,000	$48.11	$4,811,050	885,324	−10.1%	plan?
Mar 9, 2017 GForm 4 →	Mar 13, 4:45 pm EDT	Gerald L HassellChairman & CEO, Director	500	—	—	985,324	—	plan?
Feb 28, 2017 SForm 4 →	Mar 2, 5:28 pm EST	Kurtis R. KurimskyController	3,966	$46.83	$185,736	17,850	−18.2%	plan?
Feb 22, 2017 SForm 4 →	Feb 24, 5:11 pm EST	Mitchell E. HarrisSr. Executive Vice President	20,000	$47.38	$947,598	147,101	−12.0%	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:07 pm EST	James S WienerChief Risk Officer	8,793	$47.14	$414,502	91,632	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:06 pm EST	Brian T SheaVice Chairman	47,349	$47.14	$2,232,032	280,217	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:06 pm EST	Michelle M. NealManaging Director	5,013	$47.14	$236,313	82,474	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:05 pm EST	J Kevin McCarthySEVP & General Counsel, Director	11,775	$47.15	$555,225	110,487	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:05 pm EST	Kurtis R. KurimskyController	2,264	$47.14	$106,725	21,816	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:04 pm EST	Monique HerenaSr. Executive Vice President	6,260	$47.14	$295,096	92,254	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:04 pm EST	Gerald L HassellChairman & CEO, Director	140,541	$47.14	$6,625,103	985,824	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:04 pm EST	Mitchell E. HarrisSr. Executive Vice President	51,858	$47.14	$2,444,586	167,101	—	plan?
Feb 19, 2017 FForm 4 →	Feb 22, 5:03 pm EST	Thomas P GibbonsVice Chairman & CFO	48,179	$47.14	$2,271,158	373,590	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:23 pm EST	James S WienerChief Risk Officer	38,610	—	—	100,425	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:22 pm EST	Brian T SheaVice Chairman	59,475	—	—	327,566	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:22 pm EST	Michelle M. NealManaging Director	37,674	—	—	87,487	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:15 pm EST	J Kevin McCarthySEVP & General Counsel, Director	31,089	—	—	122,262	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:14 pm EST	Kurtis R. KurimskyController	7,248	—	—	24,080	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:13 pm EST	Monique HerenaSr. Executive Vice President	17,094	—	—	98,514	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:13 pm EST	Gerald L HassellChairman & CEO, Director	133,542	—	—	1,126,365	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:12 pm EST	Mitchell E. HarrisSr. Executive Vice President	52,502	—	—	218,959	—	plan?
Feb 16, 2017 AForm 4 →	Feb 21, 5:11 pm EST	Thomas P GibbonsVice Chairman & CFO	60,278	—	—	421,769	—	plan?
Feb 10, 2017 AForm 4 →	Feb 14, 5:52 pm EST	Catherin A ReinDirector	269	$43.29	$11,657	98,144	—	plan?
Feb 10, 2017 AForm 4 →	Feb 14, 5:51 pm EST	Nicholas M DonofrioDirector	125	$43.29	$5,412	28,612	—	plan?
Feb 10, 2017 AForm 4 →	Feb 14, 5:44 pm EST	Samuel C Scott IIIDirector	68	$43.29	$2,959	19,606	—	plan?
Feb 8, 2017 SForm 4 →	Feb 10, 5:23 pm EST	Brian T SheaVice Chairman	199,676	$45.07	$8,998,746	267,992	−42.7%	plan?
Feb 8, 2017 MForm 4 →	Feb 10, 5:23 pm EST	Brian T SheaVice Chairman	199,676	$26.86	$5,364,236	387,174	—	plan?
Feb 1, 2017 AForm 4 →	Feb 3, 5:05 pm EST	Jennifer B. MorganDirector	416	$45.02	$18,746	416	—	plan?
Feb 1, 2017 AForm 4 →	Feb 3, 5:04 pm EST	John M HinshawDirector	833	$45.02	$37,492	7,737	—	plan?
Feb 1, 2017 AForm 4 →	Feb 3, 5:03 pm EST	Jeffrey A GoldsteinDirector	944	$45.02	$42,491	9,842	—	plan?
Feb 1, 2017 AForm 4 →	Feb 3, 5:02 pm EST	Joseph EchevarriaDirector	1,277	$45.02	$57,487	8,961	—	plan?
Dec 12, 2016 SForm 4 →	Dec 14, 4:49 pm EST	Michelle M. NealManaging Director	4,278	$48.43	$207,201	49,813	−7.91%	plan?
Dec 9, 2016 SForm 4 →	Dec 13, 4:48 pm EST	Thomas P GibbonsVice Chairman & CFO	69,220	$48.48	$3,355,764	0	−100%	plan?
Dec 9, 2016 MForm 4 →	Dec 13, 4:48 pm EST	Thomas P GibbonsVice Chairman & CFO	59,481	$43.31	$2,576,294	377,082	—	plan?
Dec 9, 2016 SForm 4 →	Dec 13, 4:46 pm EST	Gerald L HassellChairman & CEO, Director	593,776	$48.45	$28,770,598	1,003,495	−37.2%	plan?
Dec 9, 2016 MForm 4 →	Dec 13, 4:46 pm EST	Gerald L HassellChairman & CEO, Director	593,776	$43.81	$26,013,473	1,039,391	—	plan?
Nov 10, 2016 AForm 4 →	Nov 14, 5:48 pm EST	Samuel C Scott IIIDirector	67	$44.26	$2,947	19,537	—	plan?
Nov 10, 2016 AForm 4 →	Nov 14, 5:47 pm EST	Catherin A ReinDirector	262	$44.26	$11,607	97,867	—	plan?
Nov 10, 2016 SForm 4 →	Nov 14, 5:42 pm EST	Karen B PeetzPresident	244,865	$46.10	$11,287,190	157,011	−60.9%	plan?
Nov 10, 2016 MForm 4 →	Nov 14, 5:42 pm EST	Karen B PeetzPresident	244,865	$38.79	$9,497,785	174,620	—	plan?
Nov 10, 2016 AForm 4 →	Nov 14, 5:41 pm EST	Nicholas M DonofrioDirector	122	$44.26	$5,389	28,487	—	plan?
Nov 7, 2016 GForm 5 →	Feb 10, 2017, 5:22 pm EST	Gerald L HassellChairman & CEO, Director	11,000	—	—	992,495	—	plan?
Nov 4, 2016 SForm 4 →	Nov 8, 4:47 pm EST	Brian T SheaVice Chairman	74,362	$42.94	$3,193,238	267,894	−21.7%	plan?
Oct 31, 2016 SForm 4 →	Nov 2, 5:13 pm EDT	Gerald L HassellChairman & CEO, Director	40,000	$34.35	$1,374,048	22,140	−64.4%	plan?

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Apr 20, 2018 AForm 4 →	Apr 24, 5:03 pm EDT	Samuel C Scott IIIDirector	2,345	—	—	42,058	—
Apr 20, 2018 AForm 4 →	Apr 24, 5:01 pm EDT	Elizabeth RobinsonDirector	2,345	—	—	5,175	—
Apr 20, 2018 AForm 4 →	Apr 24, 5:00 pm EDT	Edward P Garden +1Director	2,345	—	—	11,670	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:59 pm EDT	Mark A NordenbergDirector	2,345	—	—	47,294	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:58 pm EDT	Jennifer B. MorganDirector	2,345	—	—	5,175	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:57 pm EDT	Edmund F KellyDirector	2,345	—	—	47,294	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:55 pm EDT	John M HinshawDirector	2,345	—	—	11,670	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:54 pm EDT	Jeffrey A GoldsteinDirector	2,345	—	—	15,816	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:53 pm EDT	Joseph EchevarriaDirector	2,345	—	—	11,670	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:52 pm EDT	Linda Z CookDirector	2,345	—	—	5,175	—
Apr 20, 2018 AForm 4 →	Apr 24, 4:51 pm EDT	Steven D BlackDirector	2,345	—	—	2,345	—
Dec 1, 2017 MForm 4 →	Dec 5, 4:17 pm EST	Thomas P GibbonsVice Chairman & CFO	38,152	—	—	0	—
Aug 4, 2017 MForm 4 →	Aug 8, 5:22 pm EDT	Gerald L HassellChairman & Director, Director	700,719	—	—	0	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:51 pm EDT	Edward P Garden +1Director	2,780	—	—	9,160	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:39 pm EDT	Samuel C Scott IIIDirector	2,780	—	—	39,011	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:38 pm EDT	Elizabeth RobinsonDirector	2,780	—	—	2,780	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:38 pm EDT	Mark A NordenbergDirector	2,780	—	—	44,154	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:37 pm EDT	Jennifer B. MorganDirector	2,780	—	—	2,780	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:36 pm EDT	John A Luke Jr.Director	2,780	—	—	39,011	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:35 pm EDT	Edmund F KellyDirector	2,780	—	—	44,154	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:35 pm EDT	John M HinshawDirector	2,780	—	—	9,160	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:33 pm EDT	Jeffrey A GoldsteinDirector	2,780	—	—	13,233	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:33 pm EDT	Joseph EchevarriaDirector	2,780	—	—	9,160	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:32 pm EDT	Nicholas M DonofrioDirector	2,780	—	—	39,011	—
Apr 21, 2017 AForm 4 →	Apr 25, 4:31 pm EDT	Linda Z CookDirector	2,780	—	—	2,780	—
Feb 8, 2017 MForm 4 →	Feb 10, 5:23 pm EST	Brian T SheaVice Chairman	199,676	—	—	0	—
Dec 9, 2016 MForm 4 →	Aug 10, 2017, 4:36 pm EDT	Thomas P GibbonsVice Chairman & CFO	184,380	—	—	0	—	late
Dec 9, 2016 MForm 4 →	Dec 13, 4:48 pm EST	Thomas P GibbonsVice Chairman & CFO	59,481	—	—	0	—
Dec 9, 2016 MForm 4 →	Dec 13, 4:46 pm EST	Gerald L HassellChairman & CEO, Director	593,776	—	—	0	—
Nov 10, 2016 MForm 4 →	Nov 14, 5:42 pm EST	Karen B PeetzPresident	244,865	—	—	0	—
Oct 24, 2016 MForm 4 →	Oct 26, 5:01 pm EDT	Gerald L HassellChairman & CEO, Director	191,042	—	—	0	—
Oct 24, 2016 MForm 4 →	Oct 26, 5:00 pm EDT	Thomas P GibbonsVice Chairman & CFO	79,022	—	—	0	—
May 12, 2016 MForm 4 →	May 16, 4:49 pm EDT	Thomas P GibbonsVice Chairman & CFO	376,054	—	—	0	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:44 pm EDT	Samuel C Scott IIIDirector	3,166	—	—	35,610	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:44 pm EDT	Catherin A ReinDirector	3,166	—	—	35,610	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:43 pm EDT	Mark A NordenbergDirector	3,166	—	—	40,664	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:43 pm EDT	Edward P Garden +1Director	3,166	—	—	6,271	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:43 pm EDT	John A Luke Jr.Director	3,166	—	—	35,610	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:42 pm EDT	Edmund F KellyDirector	3,166	—	—	40,664	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:42 pm EDT	John M HinshawDirector	3,166	—	—	6,271	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:41 pm EDT	Jeffrey A GoldsteinDirector	3,166	—	—	10,274	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:40 pm EDT	Joseph EchevarriaDirector	3,166	—	—	6,271	—
Apr 22, 2016 AForm 4 →	Apr 26, 5:40 pm EDT	Nicholas M DonofrioDirector	3,166	—	—	35,610	—
Oct 29, 2015 MForm 4 →	Nov 2, 4:52 pm EST	Karen B PeetzPresident	42,015	—	—	32,580	—
Aug 5, 2015 MForm 4 →	Aug 7, 5:04 pm EDT	Richard F BruecknerSr. Executive Vice President	320,266	—	—	17,247	—
May 6, 2015 MForm 4 →	May 8, 4:49 pm EDT	Gerald L HassellChairman & CEO, Director	155,661	—	—	0	—
Apr 27, 2015 MForm 4 →	Apr 29, 5:05 pm EDT	Karen B PeetzPresident	179,073	—	—	0	—
Apr 24, 2015 MForm 4 →	Apr 28, 4:51 pm EDT	Thomas P GibbonsVice Chairman & CFO	127,359	—	—	0	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:14 pm EDT	Edward P Garden +1Director	3,053	—	—	3,053	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:13 pm EDT	Nicholas M DonofrioDirector	3,053	—	—	31,903	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:13 pm EDT	Jeffrey A GoldsteinDirector	3,053	—	—	6,990	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:12 pm EDT	John M HinshawDirector	3,053	—	—	3,053	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:12 pm EDT	Edmund F KellyDirector	3,053	—	—	36,874	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:12 pm EDT	Richard J KoganDirector	3,053	—	—	31,903	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:12 pm EDT	John A Luke Jr.Director	3,053	—	—	31,903	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:11 pm EDT	Mark A NordenbergDirector	3,053	—	—	36,874	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:11 pm EDT	Catherin A ReinDirector	3,053	—	—	31,903	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:11 pm EDT	William C RichardsonDirector	3,053	—	—	31,903	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:10 pm EDT	Samuel C Scott IIIDirector	3,053	—	—	31,903	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:10 pm EDT	Wesley W Von SchackDirector	3,053	—	—	36,874	—
Apr 23, 2015 AForm 4 →	Apr 27, 5:10 pm EDT	Joseph EchevarriaDirector	3,053	—	—	3,053	—
Mar 4, 2015 OForm 4 →	Mar 6, 4:48 pm EST	Edward P Garden +1Director	186,231	—	—	0	—
Feb 25, 2015 JForm 4 →	Feb 27, 5:21 pm EST	Edward P Garden +1Director	186,231	—	—	186,231	—
Feb 25, 2015 MForm 4 →	Feb 27, 4:54 pm EST	Wesley W Von SchackDirector	3,300	—	—	0	—
Feb 20, 2015 MForm 4 →	Feb 24, 4:51 pm EST	Gerald L HassellChairman & CEO, Director	329,593	—	—	0	—

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
May 22, 2017 SForm 4 →	May 24, 11:09 am EDT	Alcentra Capital CorpABDC	1,691,839	$13.13	$22,213,846	0	−100%	plan?
May 6, 2015 PForm 4 →	May 11, 6:26 pm EDT	Alcentra Capital CorpABDC	7,178	$13.67	$98,123	1,691,739	+0.43%	plan? late
May 6, 2015 PForm 4 →	May 8, 4:40 pm EDT	Alcentra Capital CorpABDC	5,875	$13.69	$80,414	1,684,561	+0.35%	plan?
May 4, 2015 PForm 4 →	May 6, 11:55 am EDT	Alcentra Capital CorpABDC	6,288	$13.78	$86,624	1,678,686	+0.38%	plan?
Apr 30, 2015 PForm 4 →	May 4, 10:59 am EDT	Alcentra Capital CorpABDC	12,313	$13.86	$170,705	1,672,398	+0.74%	plan?
Apr 28, 2015 PForm 4 →	Apr 30, 4:10 pm EDT	Alcentra Capital CorpABDC	10,600	$13.78	$146,106	1,660,085	+0.64%	plan?
Apr 24, 2015 PForm 4 →	Apr 28, 11:30 am EDT	Alcentra Capital CorpABDC	13,248	$13.84	$183,350	1,624,864	+0.82%	plan?
Apr 22, 2015 PForm 4 →	Apr 24, 11:27 am EDT	Alcentra Capital CorpABDC	11,908	$13.80	$164,283	1,611,616	+0.74%	plan?
Apr 20, 2015 PForm 4 →	Apr 22, 10:08 am EDT	Alcentra Capital CorpABDC	9,175	$13.91	$127,624	1,599,708	+0.58%	plan?
Apr 16, 2015 PForm 4 →	Apr 20, 10:26 am EDT	Alcentra Capital CorpABDC	11,994	$13.89	$166,628	1,590,533	+0.76%	plan?
Apr 14, 2015 PForm 4 →	Apr 16, 2:21 pm EDT	Alcentra Capital CorpABDC	8,900	$13.86	$123,341	1,578,539	+0.57%	plan?
Apr 13, 2015 PForm 4/A →	Apr 16, 3:22 pm EDT	Alcentra Capital CorpABDC	12,400	$14.13	$175,164	1,569,639	+0.80%	plan?
Apr 10, 2015 PForm 4 →	Apr 14, 12:20 pm EDT	Alcentra Capital CorpABDC	20,124	$14.15	$284,770	1,569,713	+1.30%	plan?
Apr 8, 2015 PForm 4 →	Apr 10, 10:56 am EDT	Alcentra Capital CorpABDC	20,676	$14.09	$291,309	1,549,589	+1.35%	plan?
Apr 6, 2015 PForm 4 →	Apr 8, 11:13 am EDT	Alcentra Capital CorpABDC	15,938	$13.58	$216,369	1,528,913	+1.05%	plan?
Apr 2, 2015 PForm 4 →	Apr 6, 9:16 am EDT	Alcentra Capital CorpABDC	4,000	$13.55	$54,200	1,512,975	+0.27%	plan?
Mar 31, 2015 PForm 4 →	Apr 2, 9:50 am EDT	Alcentra Capital CorpABDC	13,406	$13.63	$182,706	1,508,975	+0.90%	plan?
Mar 27, 2015 PForm 4 →	Mar 31, 10:20 am EDT	Alcentra Capital CorpABDC	11,718	$13.35	$156,480	1,495,569	+0.79%	plan?
Mar 25, 2015 PForm 4 →	Mar 27, 10:31 am EDT	Alcentra Capital CorpABDC	16,426	$13.84	$227,336	1,483,851	+1.12%	plan?
Mar 23, 2015 PForm 4 →	Mar 25, 5:27 pm EDT	Alcentra Capital CorpABDC	16,426	$14.13	$232,031	1,467,425	+1.13%	plan?

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

No reported derivative activity in this period.