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
Oct 24, 2016 SForm 4 →	Oct 26, 5:01 pm EDT	Gerald L HassellChairman & CEO, Director	191,042	$43.22	$8,256,052	1,003,176	−16.0%	plan?
Oct 24, 2016 GMForm 4 →	Oct 26, 5:01 pm EDT	Gerald L HassellChairman & CEO, Director	202,367	$40.40	$7,718,097	1,194,218	—	plan?
Oct 24, 2016 SForm 4 →	Oct 26, 5:00 pm EDT	Mitchell E. HarrisSr. Executive Vice President	28,779	$43.55	$1,253,466	166,196	−14.8%	plan?
Oct 24, 2016 SForm 4 →	Oct 26, 5:00 pm EDT	Thomas P GibbonsVice Chairman & CFO	79,022	$43.20	$3,413,885	360,588	−18.0%	plan?
Oct 24, 2016 MForm 4 →	Oct 26, 5:00 pm EDT	Thomas P GibbonsVice Chairman & CFO	79,022	$40.40	$3,192,489	439,610	—	plan?
Oct 3, 2016 AForm 4 →	Oct 5, 5:12 pm EDT	John M HinshawDirector	693	$39.69	$27,500	6,876	—	plan?
Oct 3, 2016 AForm 4 →	Oct 5, 5:11 pm EDT	Jeffrey A GoldsteinDirector	819	$39.69	$32,500	8,862	—	plan?
Oct 3, 2016 AForm 4 →	Oct 5, 5:11 pm EDT	Joseph EchevarriaDirector	1,197	$39.69	$47,500	7,653	—	plan?
Sep 23, 2016 FForm 4 →	Sep 27, 4:48 pm EDT	Monique HerenaSr. Executive Vice President	9,769	$40.20	$392,714	81,420	—	plan?
Aug 12, 2016 AForm 4 →	Aug 16, 5:34 pm EDT	Samuel C Scott IIIDirector	78	$37.60	$2,932	19,471	—	plan?
Aug 12, 2016 AForm 4 →	Aug 16, 5:33 pm EDT	Catherin A ReinDirector	307	$37.60	$11,549	97,605	—	plan?
Aug 12, 2016 FForm 4 →	Aug 16, 5:32 pm EDT	Michelle M. NealManaging Director	5,407	$39.73	$214,820	54,091	—	plan?
Aug 12, 2016 AForm 4 →	Aug 16, 5:31 pm EDT	Nicholas M DonofrioDirector	143	$37.60	$5,362	28,365	—	plan?
Jul 22, 2016 PForm 4 →	Jul 25, 5:55 pm EDT	Edward P Garden +1Director	152,000	$38.87	$5,907,997	32,366,329	+0.47%	plan?
Jul 1, 2016 AForm 4 →	Jul 6, 4:54 pm EDT	John M HinshawDirector	723	$38.04	$27,500	6,153	—	plan?
Jul 1, 2016 AForm 4 →	Jul 6, 4:53 pm EDT	Jeffrey A GoldsteinDirector	854	$38.04	$32,500	8,005	—	plan?
Jul 1, 2016 AForm 4 →	Jul 6, 4:51 pm EDT	Joseph EchevarriaDirector	1,249	$38.04	$47,500	6,425	—	plan?
Jun 6, 2016 PForm 4 →	Jun 8, 5:38 pm EDT	Edward P Garden +1Director	370,000	$42.39	$15,684,485	32,214,329	+1.16%	plan?
May 19, 2016 SForm 4 →	May 23, 4:59 pm EDT	Gerald L HassellChairman & CEO, Director	24,598	$40.76	$1,002,739	0	−100%	plan?
May 16, 2016 PForm 4 →	May 17, 5:16 pm EDT	Edward P Garden +1Director	20,700	$39.65	$820,819	31,844,329	+0.07%	plan?
May 13, 2016 AForm 4 →	May 17, 5:19 pm EDT	Samuel C Scott IIIDirector	69	$37.74	$2,611	19,393	—	plan?
May 13, 2016 AForm 4 →	May 17, 5:17 pm EDT	Catherin A ReinDirector	273	$37.74	$10,287	97,294	—	plan?
May 13, 2016 AForm 4 →	May 17, 5:13 pm EDT	Nicholas M DonofrioDirector	127	$37.74	$4,776	28,222	—	plan?
May 12, 2016 SForm 4 →	May 16, 4:49 pm EDT	Thomas P GibbonsVice Chairman & CFO	376,054	$39.77	$14,957,540	359,604	−51.1%	plan?
May 12, 2016 MForm 4 →	May 16, 4:49 pm EDT	Thomas P GibbonsVice Chairman & CFO	376,054	$24.32	$9,145,762	553,330	—	plan?
May 4, 2016 SForm 4 →	May 6, 4:40 pm EDT	Karen B PeetzPresident	65,000	$39.24	$2,550,373	156,769	−29.3%	plan?
May 4, 2016 GForm 4 →	May 6, 4:40 pm EDT	Karen B PeetzPresident	5,000	—	—	221,769	—	plan?
May 2, 2016 AForm 4 →	May 4, 4:58 pm EDT	John M HinshawDirector	167	$40.77	$6,800	5,407	—	plan?
May 2, 2016 AForm 4 →	May 4, 4:58 pm EDT	Joseph EchevarriaDirector	351	$40.77	$14,300	5,154	—	plan?
Apr 28, 2016 SForm 4 →	May 2, 6:49 pm EDT	Mitchell E. HarrisSr. Executive Vice President	19,295	$40.66	$784,529	194,690	−9.02%	plan?
Apr 22, 2016 GForm 4 →	May 23, 4:59 pm EDT	Gerald L HassellChairman & CEO, Director	20,700	—	—	1,013,795	—	plan? late
Apr 1, 2016 AForm 4 →	Apr 5, 4:54 pm EDT	Wesley W Von SchackDirector	97	$36.93	$3,600	92,725	—	plan?
Apr 1, 2016 AForm 4 →	Apr 5, 4:53 pm EDT	John M HinshawDirector	793	$36.93	$29,300	5,240	—	plan?
Apr 1, 2016 AForm 4 →	Apr 5, 4:51 pm EDT	Jeffrey A GoldsteinDirector	880	$36.93	$32,500	7,120	—	plan?
Apr 1, 2016 AForm 4 →	Apr 5, 4:51 pm EDT	Joseph EchevarriaDirector	996	$36.93	$36,800	4,804	—	plan?
Mar 1, 2016 AForm 4 →	Mar 3, 5:17 pm EST	Wesley W Von SchackDirector	49	$36.80	$1,800	92,627	—	plan?
Mar 1, 2016 AForm 4 →	Mar 3, 5:15 pm EST	John M HinshawDirector	49	$36.80	$1,800	4,447	—	plan?
Mar 1, 2016 FForm 4 →	Mar 3, 5:14 pm EST	Monique HerenaSr. Executive Vice President	10,724	$36.80	$394,643	91,189	—	plan?
Mar 1, 2016 AForm 4 →	Mar 3, 5:12 pm EST	Joseph EchevarriaDirector	49	$36.80	$1,800	3,807	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:54 pm EST	James S WienerChief Risk Officer	52,205	$34.93	$65,459	61,815	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:53 pm EST	Brian T SheaVice Chairman	157,396	$34.93	$1,348,123	342,042	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:53 pm EST	Karen B PeetzPresident	145,506	$34.93	$1,726,206	226,769	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:52 pm EST	J Kevin McCarthySEVP & General Counsel, Director	46,187	$34.93	$232,005	91,173	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:52 pm EST	Kurtis R. KurimskyController	11,504	$34.93	$28,223	16,832	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:51 pm EST	Monique HerenaSr. Executive Vice President	37,789	$34.93	$64,236	101,913	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:50 pm EST	Gerald L HassellChairman & CEO, Director	483,819	$34.93	$4,271,764	1,034,495	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:50 pm EST	Thomas P GibbonsVice Chairman & CFO	170,333	$34.93	$1,652,329	359,604	—	plan?
Feb 19, 2016 AFForm 4 →	Feb 23, 4:49 pm EST	Curtis ArledgeVice Chairman	337,818	$34.93	$4,327,792	717,052	—	plan?
Feb 17, 2016 PForm 4 →	Feb 19, 4:53 pm EST	Edward P Garden +1Director	891,190	$35.10	$31,281,304	31,823,629	+2.88%	plan?
Feb 12, 2016 AForm 4 →	Feb 17, 5:08 pm EST	Samuel C Scott IIIDirector	82	$31.80	$2,598	19,324	—	plan?
Feb 12, 2016 AForm 4 →	Feb 17, 5:08 pm EST	William C RichardsonDirector	149	$31.80	$4,753	29,240	—	plan?
Feb 12, 2016 AForm 4 →	Feb 17, 5:07 pm EST	Catherin A ReinDirector	322	$31.80	$10,232	97,018	—	plan?
Feb 12, 2016 AForm 4 →	Feb 17, 5:06 pm EST	Nicholas M DonofrioDirector	149	$31.80	$4,751	28,096	—	plan?
Feb 1, 2016 AForm 4 →	Feb 3, 4:52 pm EST	Wesley W Von SchackDirector	1,599	$35.50	$56,776	92,387	—	plan?
Feb 1, 2016 AForm 4 →	Feb 3, 4:51 pm EST	John M HinshawDirector	1,107	$35.50	$39,284	4,376	—	plan?
Feb 1, 2016 AForm 4 →	Feb 3, 4:50 pm EST	Jeffrey A GoldsteinDirector	1,197	$35.50	$42,481	6,208	—	plan?
Feb 1, 2016 AForm 4 →	Feb 3, 4:48 pm EST	Joseph EchevarriaDirector	1,318	$35.50	$46,780	3,739	—	plan?
Jan 4, 2016 AForm 4 →	Jan 6, 5:01 pm EST	Wesley W Von SchackDirector	45	$39.97	$1,800	90,787	—	plan?
Jan 4, 2016 AForm 4 →	Jan 6, 5:00 pm EST	Joseph EchevarriaDirector	45	$39.97	$1,800	2,421	—	plan?
Jan 4, 2016 AForm 4 →	Jan 6, 5:00 pm EST	John M HinshawDirector	45	$39.97	$1,800	3,269	—	plan?
Dec 7, 2015 GForm 5 →	Feb 11, 2016, 5:37 pm EST	Gerald L HassellChairman & CEO, Director	1,755	—	—	794,599	—	plan?
Nov 18, 2015 SForm 4 →	Nov 20, 4:43 pm EST	Wesley W Von SchackDirector	7,436	$43.46	$323,171	90,742	−7.57%	plan?
Nov 13, 2015 AForm 4 →	Nov 17, 4:54 pm EST	Samuel C Scott IIIDirector	63	$40.77	$2,587	19,242	—	plan?
Nov 13, 2015 AForm 4 →	Nov 17, 4:53 pm EST	William C RichardsonDirector	116	$40.77	$4,733	29,091	—	plan?
Nov 13, 2015 AForm 4 →	Nov 17, 4:52 pm EST	Catherin A ReinDirector	250	$40.77	$10,189	96,688	—	plan?
Nov 13, 2015 AForm 4 →	Nov 17, 4:50 pm EST	Nicholas M DonofrioDirector	116	$40.77	$4,731	27,946	—	plan?
Nov 11, 2015 PForm 4 →	Nov 12, 6:32 pm EST	Edward P Garden +1Director	421,800	$43.94	$18,531,952	30,932,439	+1.38%	plan?
Nov 2, 2015 AForm 4 →	Nov 4, 5:02 pm EST	Joseph EchevarriaDirector	43	$42.25	$1,800	2,367	—	plan?
Nov 2, 2015 AForm 4 →	Nov 4, 5:01 pm EST	John M HinshawDirector	43	$42.25	$1,800	3,212	—	plan?
Nov 2, 2015 AForm 4 →	Nov 4, 5:00 pm EST	Wesley W Von SchackDirector	85	$42.25	$3,600	98,036	—	plan?
Oct 29, 2015 SForm 4 →	Nov 2, 4:52 pm EST	Karen B PeetzPresident	42,015	$42.48	$1,784,814	179,644	−19.0%	plan?
Oct 29, 2015 GMForm 4 →	Nov 2, 4:52 pm EST	Karen B PeetzPresident	45,522	$25.41	$1,067,666	212,225	—	plan?
Oct 26, 2015 SForm 4 →	Oct 28, 4:50 pm EDT	Gerald L HassellChairman & CEO, Director	30,000	$41.91	$1,257,351	24,274	−55.3%	plan?
Oct 22, 2015 GForm 4 →	Oct 28, 4:50 pm EDT	Gerald L HassellChairman & CEO, Director	2,550	—	—	795,836	—	plan? late
Oct 21, 2015 PForm 4 →	Oct 23, 4:50 pm EDT	Edward P Garden +1Director	285,000	$41.34	$11,781,786	30,510,639	+0.94%	plan?
Oct 1, 2015 AForm 4 →	Oct 5, 5:32 pm EDT	Wesley W Von SchackDirector	1,235	$39.36	$48,600	97,951	—	plan?
Oct 1, 2015 AForm 4 →	Oct 5, 5:31 pm EDT	John M HinshawDirector	790	$39.36	$31,100	3,169	—	plan?
Oct 1, 2015 AForm 4 →	Oct 5, 5:30 pm EDT	Jeffrey A GoldsteinDirector	826	$39.36	$32,500	4,992	—	plan?
Oct 1, 2015 AForm 4 →	Oct 5, 5:29 pm EDT	Joseph EchevarriaDirector	981	$39.36	$38,600	2,324	—	plan?
Aug 13, 2015 AForm 4 →	Aug 17, 5:54 pm EDT	Samuel C Scott IIIDirector	62	$41.73	$2,576	19,179	—	plan?
Aug 13, 2015 AForm 4 →	Aug 17, 5:54 pm EDT	William C RichardsonDirector	113	$41.73	$4,714	28,974	—	plan?
Aug 13, 2015 AForm 4 →	Aug 17, 5:53 pm EDT	Catherin A ReinDirector	243	$41.73	$10,148	96,439	—	plan?
Aug 13, 2015 AForm 4 →	Aug 17, 5:52 pm EDT	Nicholas M DonofrioDirector	113	$41.73	$4,712	27,830	—	plan?
Aug 5, 2015 SForm 4 →	Aug 7, 5:04 pm EDT	Richard F BruecknerSr. Executive Vice President	366,162	$44.43	$16,269,742	152,664	−70.6%	plan?
Aug 5, 2015 MForm 4 →	Aug 7, 5:04 pm EDT	Richard F BruecknerSr. Executive Vice President	320,266	$23.46	$7,513,087	250,307	—	plan?
Aug 5, 2015 SForm 4 →	Aug 7, 5:03 pm EDT	Gerald L HassellChairman & CEO, Director	11,376	$44.42	$505,349	797,882	−1.41%	plan?
Jul 27, 2015 SForm 4 →	Jul 29, 4:49 pm EDT	Gerald L HassellChairman & CEO, Director	80,000	$43.06	$3,444,912	42,140	−65.5%	plan?
Jul 24, 2015 GForm 4 →	Jul 29, 4:49 pm EDT	Gerald L HassellChairman & CEO, Director	600	—	—	809,258	—	plan? late
Jul 1, 2015 AForm 4 →	Jul 6, 5:14 pm EDT	Wesley W Von SchackDirector	948	$42.18	$40,000	81,851	—	plan?
Jul 1, 2015 AForm 4 →	Jul 6, 5:12 pm EDT	John M HinshawDirector	652	$42.18	$27,500	2,370	—	plan?
Jul 1, 2015 AForm 4 →	Jul 6, 5:09 pm EDT	Jeffrey A GoldsteinDirector	771	$42.18	$32,500	4,150	—	plan?
Jul 1, 2015 AForm 4 →	Jul 6, 5:07 pm EDT	Joseph EchevarriaDirector	652	$42.18	$27,500	1,339	—	plan?
May 21, 2015 GForm 5 →	Feb 11, 2016, 5:36 pm EST	Curtis ArledgeVice Chairman	19,464	—	—	626,401	—	plan?
May 14, 2015 AForm 4 →	May 18, 4:51 pm EDT	Nicholas M DonofrioDirector	114	$41.17	$4,693	27,718	—	plan?
May 14, 2015 AForm 4 →	May 18, 4:51 pm EDT	Catherin A ReinDirector	245	$41.17	$10,106	96,192	—	plan?
May 14, 2015 AForm 4 →	May 18, 4:51 pm EDT	William C RichardsonDirector	114	$41.17	$4,695	28,861	—	plan?
May 14, 2015 AForm 4 →	May 18, 4:51 pm EDT	Samuel C Scott IIIDirector	62	$41.17	$2,566	19,117	—	plan?
May 6, 2015 SForm 4 →	May 8, 4:49 pm EDT	Gerald L HassellChairman & CEO, Director	155,661	$42.79	$6,661,061	809,349	−16.1%	plan?
May 1, 2015 AForm 4 →	May 5, 5:01 pm EDT	Wesley W Von SchackDirector	42	$42.74	$1,800	80,772	—	plan?
Apr 27, 2015 GMForm 4 →	Apr 29, 5:05 pm EDT	Karen B PeetzPresident	182,623	$30.18	$5,404,230	361,833	—	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.