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
Aug 27, 2026 SForm 4 →	Aug 31, 4:14 pm EDT	Jose MinayaSenior Executive VP	3,520	$162.64	$572,489	180,344	−1.91%	10b5-1
Aug 5, 2026 GForm 4 →	Aug 6, 4:27 pm EDT	J Kevin McCarthySEVP & General Counsel	249	—	—	49,989	—
Jul 29, 2026 SForm 4 →	Jul 31, 4:15 pm EDT	Dermot McDonoghChief Financial Officer	31,800	$155.26	$4,937,426	0	−100%
Jul 29, 2026 GForm 4 →	Jul 31, 4:15 pm EDT	Dermot McDonoghChief Financial Officer	63,600	—	—	31,800	—
Jul 16, 2026 JForm 4 →	Jul 17, 4:16 pm EDT	Robin A. VinceChairman & CEO, Director	49,666	$161.08	$7,999,951	24,833	—
Jul 1, 2026 AForm 4 →	Jul 6, 4:35 pm EDT	Sandra O'ConnorDirector	188	$146.02	$27,500	7,116	—
Jul 1, 2026 AForm 4 →	Jul 6, 4:35 pm EDT	Elizabeth RobinsonDirector	73	$146.02	$10,625	5,415	—
Jul 1, 2026 AForm 4 →	Jul 6, 4:35 pm EDT	Jeffrey A GoldsteinDirector	282	$146.02	$41,250	42,763	—
Jul 1, 2026 AForm 4 →	Jul 6, 4:34 pm EDT	Joseph EchevarriaDirector	616	$146.02	$90,000	66,683	—
Mar 11, 2019 SForm 4 →	Mar 13, 5:05 pm EDT	Edward P Garden +1Director	792,000	$52.10	$41,262,284	13,228,272	−5.65%	plan?
Mar 1, 2019 SForm 4 →	Mar 5, 5:00 pm EST	Kurtis R. KurimskyController	5,797	$53.00	$307,258	18,483	−23.9%	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:56 pm EST	James S WienerChief Risk Officer	2,984	$53.04	$158,271	110,714	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:54 pm EST	Michael P. SantomassimoSr. Exec.VP & CFO	1,085	$53.04	$57,548	53,932	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:53 pm EST	J Kevin McCarthySEVP & General Counsel	2,255	$53.04	$119,605	118,418	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:50 pm EST	Francis J. La SallaSr. Executive Vice President	1,013	$53.04	$53,730	69,986	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:49 pm EST	Kurtis R. KurimskyController	1,019	$53.04	$54,048	24,280	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:47 pm EST	Monique HerenaSr. Executive Vice President	2,110	$53.04	$111,914	127,538	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:45 pm EST	Mitchell E. HarrisSr. Executive Vice President	6,243	$53.04	$331,129	192,266	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:44 pm EST	Thomas P GibbonsVice Chairman	4,824	$53.04	$255,865	348,875	—	plan?
Feb 26, 2019 FForm 4 →	Feb 28, 4:42 pm EST	Bridget E. EngleSr. Exec. Vice President	3,501	$53.04	$185,693	88,649	—	plan?
Feb 19, 2019 FForm 4 →	Feb 21, 4:39 pm EST	Hani A. KablawiSr. Executive Vice President	1,426	$52.99	$75,564	46,599	—	plan?
Feb 16, 2019 AFForm 4 →	Feb 21, 5:13 pm EST	James S WienerChief Risk Officer	30,959	$52.99	$736,084	113,698	—	plan? late
Feb 16, 2019 FForm 4 →	Feb 21, 4:44 pm EST	Michael P. SantomassimoSr. Exec.VP & CFO	1,734	$52.99	$91,885	55,017	—	plan? late
Feb 16, 2019 AFForm 4 →	Feb 21, 4:43 pm EST	J Kevin McCarthySEVP & General Counsel	25,157	$52.99	$531,172	120,673	—	plan? late
Feb 16, 2019 FForm 4 →	Feb 21, 4:41 pm EST	Francis J. La SallaSr. Executive Vice President	1,520	$52.99	$80,545	70,999	—	plan? late
Feb 16, 2019 FForm 4 →	Feb 21, 4:40 pm EST	Kurtis R. KurimskyController	2,355	$52.99	$124,791	25,299	—	plan? late
Feb 16, 2019 AFForm 4 →	Feb 21, 4:37 pm EST	Monique HerenaSr. Executive Vice President	22,425	$52.99	$416,077	129,648	—	plan? late
Feb 16, 2019 AFForm 4 →	Feb 21, 4:35 pm EST	Mitchell E. HarrisSr. Executive Vice President	40,159	$52.99	$684,366	198,509	—	plan? late
Feb 16, 2019 AFForm 4 →	Feb 21, 4:34 pm EST	Thomas P GibbonsVice Chairman	47,224	$52.99	$1,037,703	353,699	—	plan? late
Feb 15, 2019 SForm 4 →	Feb 20, 4:35 pm EST	Charles W ScharfChairman & CEO, Director	4,674	$52.99	$247,675	304,118	−1.51%	plan?
Feb 15, 2019 SForm 4 →	Feb 20, 4:31 pm EST	Bridget E. EngleSr. Exec. Vice President	22,670	$52.99	$1,201,283	92,150	−19.7%	plan?
Feb 12, 2019 AForm 4 →	Feb 14, 4:37 pm EST	Lester OwensSr. Executive Vice President	53,218	—	—	53,218	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:46 pm EST	James S WienerChief Risk Officer	17,588	—	—	110,521	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:45 pm EST	Akash ShahSr Executive Vice President	7,106	—	—	7,106	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:44 pm EST	Charles W ScharfChairman & CEO, Director	85,152	—	—	308,792	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:43 pm EST	Michael P. SantomassimoSr. Exec.VP & CFO	22,842	—	—	56,751	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:42 pm EST	Roman RegelmanSr. Executive Vice President	8,883	—	—	8,883	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:42 pm EST	J Kevin McCarthySEVP & General Counsel	14,949	—	—	115,564	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:41 pm EST	Francis J. La SallaSr. Executive Vice President	11,167	—	—	72,519	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:39 pm EST	Kurtis R. KurimskyController	11,167	—	—	27,654	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:38 pm EST	Hani A. KablawiSr. Executive Vice President	11,805	—	—	48,025	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:37 pm EST	Monique HerenaSr. Executive Vice President	13,984	—	—	122,926	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:36 pm EST	Mitchell E. HarrisSr. Executive Vice President	33,578	—	—	184,180	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:35 pm EST	Thomas P GibbonsVice Chairman	36,510	—	—	345,641	—	plan?
Feb 11, 2019 AForm 4 →	Feb 13, 9:34 pm EST	Bridget E. EngleSr. Exec. Vice President	26,243	—	—	114,820	—	plan?
Feb 8, 2019 AForm 4 →	Feb 12, 4:40 pm EST	Samuel C Scott IIIDirector	93	$49.03	$4,536	20,255	—	plan?
Feb 1, 2019 AForm 4 →	Feb 5, 4:44 pm EST	Elizabeth RobinsonDirector	178	$52.62	$9,375	178	—	plan?
Feb 1, 2019 AForm 4 →	Feb 5, 4:43 pm EST	Jennifer B. MorganDirector	356	$52.62	$18,750	2,757	—	plan?
Feb 1, 2019 AForm 4 →	Feb 5, 4:43 pm EST	John M HinshawDirector	808	$52.62	$42,500	13,451	—	plan?
Feb 1, 2019 AForm 4 →	Feb 5, 4:42 pm EST	Jeffrey A GoldsteinDirector	808	$52.62	$42,500	15,646	—	plan?
Feb 1, 2019 AForm 4 →	Feb 5, 4:41 pm EST	Joseph EchevarriaDirector	1,805	$52.62	$95,000	17,781	—	plan?
Feb 1, 2019 AForm 4 →	Feb 5, 4:40 pm EST	Steven D BlackDirector	713	$52.62	$37,500	1,760	—	plan?
Jan 25, 2019 SForm 4 →	Jan 29, 4:38 pm EST	Edward P Garden +1Director	2,107,000	$53.48	$112,681,929	14,020,272	−13.1%	plan?
Jan 14, 2019 FForm 4 →	Jan 16, 4:44 pm EST	Michael P. SantomassimoSr. Exec.VP & CFO	1,729	$48.08	$83,130	33,909	—	plan?
Nov 9, 2018 AForm 4 →	Nov 13, 4:53 pm EST	Samuel C Scott IIIDirector	98	$46.13	$4,509	20,163	—	plan?
Oct 25, 2018 FForm 4 →	Oct 29, 4:49 pm EDT	Michael P. SantomassimoSr. Exec.VP & CFO	1,569	$46.15	$72,409	35,638	—	plan?
Oct 1, 2018 AForm 4 →	Oct 3, 4:48 pm EDT	Jennifer B. MorganDirector	265	$51.90	$13,750	2,387	—	plan?
Oct 1, 2018 AForm 4 →	Oct 3, 4:46 pm EDT	John M HinshawDirector	626	$51.90	$32,500	12,571	—	plan?
Oct 1, 2018 AForm 4 →	Oct 3, 4:43 pm EDT	Jeffrey A GoldsteinDirector	626	$51.90	$32,500	14,753	—	plan?
Oct 1, 2018 AForm 4 →	Oct 3, 4:42 pm EDT	Joseph EchevarriaDirector	915	$51.90	$47,500	15,884	—	plan?
Oct 1, 2018 AForm 4 →	Oct 3, 4:39 pm EDT	Steven D BlackDirector	530	$51.90	$27,500	1,041	—	plan?
Aug 10, 2018 AForm 4 →	Aug 13, 4:31 pm EDT	Samuel C Scott IIIDirector	92	$48.56	$4,483	20,065	—	plan?
Jul 2, 2018 AForm 4 →	Jul 5, 4:47 pm EDT	Jennifer B. MorganDirector	254	$54.09	$13,750	2,111	—	plan?
Jul 2, 2018 AForm 4 →	Jul 5, 4:45 pm EDT	John M HinshawDirector	601	$54.09	$32,500	11,879	—	plan?
Jul 2, 2018 AForm 4 →	Jul 5, 4:42 pm EDT	Jeffrey A GoldsteinDirector	601	$54.09	$32,500	14,050	—	plan?
Jul 2, 2018 AForm 4 →	Jul 5, 4:40 pm EDT	Joseph EchevarriaDirector	878	$54.09	$47,500	14,887	—	plan?
Jul 2, 2018 AForm 4 →	Jul 5, 4:38 pm EDT	Steven D BlackDirector	508	$54.09	$27,500	508	—	plan?
May 11, 2018 SForm 4 →	May 15, 4:35 pm EDT	Kurtis R. KurimskyController	4,701	$57.44	$270,002	16,487	−22.2%	plan?
May 11, 2018 AForm 4 →	May 15, 4:32 pm EDT	Samuel C Scott IIIDirector	70	$54.41	$3,826	19,973	—	plan?
Apr 23, 2018 SForm 4 →	Apr 25, 4:46 pm EDT	J Kevin McCarthySEVP & General Counsel	15,000	$55.89	$838,350	100,609	−13.0%	plan?
Apr 23, 2018 SForm 4 →	Apr 25, 4:44 pm EDT	Mitchell E. HarrisSr. Executive Vice President	48,000	$56.00	$2,687,938	150,595	−24.2%	plan?
Apr 2, 2018 AForm 4 →	Apr 4, 4:36 pm EDT	Jennifer B. MorganDirector	274	$50.15	$13,750	1,849	—	plan?
Apr 2, 2018 AForm 4 →	Apr 4, 4:34 pm EDT	John M HinshawDirector	648	$50.15	$32,500	11,231	—	plan?
Apr 2, 2018 AForm 4 →	Apr 4, 4:32 pm EDT	Jeffrey A GoldsteinDirector	648	$50.15	$32,500	13,393	—	plan?
Apr 2, 2018 AForm 4 →	Apr 4, 4:30 pm EDT	Joseph EchevarriaDirector	947	$50.15	$47,500	13,951	—	plan?
Mar 9, 2018 PForm 4 →	Mar 12, 8:24 am EDT	Edward P Garden +1Director	360,000	$56.67	$20,399,521	16,127,272	+2.28%	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:52 pm EST	Douglas H. ShulmanSr. Executive Vice President	12,220	—	—	48,648	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:52 pm EST	James S WienerChief Risk Officer	16,818	—	—	92,925	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:50 pm EST	Douglas H. ShulmanSr. Executive Vice President	12,220	—	—	48,648	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:48 pm EST	Michael P. SantomassimoSr. Exec.VP & CFO	6,360	—	—	37,207	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:48 pm EST	J Kevin McCarthySEVP & General Counsel, Director	27,178	—	—	115,609	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:47 pm EST	Francis J. La SallaSr. Executive Vice President	6,204	—	—	61,352	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:45 pm EST	Kurtis R. KurimskyController	6,355	—	—	21,188	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:42 pm EST	Hani A. KablawiSr. Executive Vice President	7,321	—	—	35,844	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:42 pm EST	Mitchell E. HarrisSr. Executive Vice President	77,730	—	—	198,595	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:41 pm EST	Monique HerenaSr. Executive Vice President	25,071	—	—	108,942	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:33 pm EST	Thomas P GibbonsVice Chairman	60,618	—	—	308,431	—	plan?
Feb 26, 2018 AForm 4 →	Feb 28, 4:30 pm EST	Bridget E. EngleSr. Exec. Vice President	20,531	—	—	88,577	—	plan?
Feb 22, 2018 SForm 4 →	Feb 26, 4:35 pm EST	Bridget E. EngleSr. Exec. Vice President	38,928	$56.62	$2,203,948	68,046	−36.4%	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:37 pm EST	James S WienerChief Risk Officer	2,370	$56.42	$133,715	76,107	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:36 pm EST	Douglas H. ShulmanSr. Executive Vice President	570	$56.42	$32,159	36,428	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:35 pm EST	J Kevin McCarthySEVP & General Counsel, Director	3,145	$56.42	$177,441	88,431	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:34 pm EST	Francis J. La SallaSr. Executive Vice President	1,333	$56.42	$75,208	55,148	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:34 pm EST	Kurtis R. KurimskyController	664	$56.42	$37,463	14,833	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:33 pm EST	Hani A. KablawiSr. Executive Vice President	1,083	$56.42	$61,103	28,523	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:32 pm EST	Monique HerenaSr. Executive Vice President	2,335	$56.42	$131,741	83,871	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:32 pm EST	Mitchell E. HarrisSr. Executive Vice President	6,840	$56.42	$385,913	120,865	—	plan?
Feb 20, 2018 FForm 4 →	Feb 22, 4:31 pm EST	Thomas P GibbonsVice Chairman	5,901	$56.42	$332,934	247,813	—	plan?
Feb 19, 2018 FForm 4 →	Feb 21, 4:37 pm EST	Hani A. KablawiSr. Executive Vice President	1,426	$56.25	$80,213	29,606	—	plan?
Feb 16, 2018 FForm 4 →	Feb 21, 4:56 pm EST	James S WienerChief Risk Officer	13,155	$56.25	$739,969	78,477	—	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.