0001144204-15-018441.txt : 20150325 0001144204-15-018441.hdr.sgml : 20150325 20150325172749 ACCESSION NUMBER: 0001144204-15-018441 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150323 FILED AS OF DATE: 20150325 DATE AS OF CHANGE: 20150325 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alcentra Capital Corp CENTRAL INDEX KEY: 0001578620 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 PARK AVENUE STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 212-922-8240 MAIL ADDRESS: STREET 1: 200 PARK AVENUE STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10166 FORMER COMPANY: FORMER CONFORMED NAME: Alcentra Capital Corp. DATE OF NAME CHANGE: 20130605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BNY Alcentra Group Holdings, Inc. CENTRAL INDEX KEY: 0001629949 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01064 FILM NUMBER: 15725495 BUSINESS ADDRESS: STREET 1: 10 GRESHAM STREET CITY: LONDON STATE: X0 ZIP: EC2V 7JD BUSINESS PHONE: 44 207 367 5004 MAIL ADDRESS: STREET 1: 10 GRESHAM STREET CITY: LONDON STATE: X0 ZIP: EC2V 7JD REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bank of New York Mellon Corp CENTRAL INDEX KEY: 0001390777 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01064 FILM NUMBER: 15725496 BUSINESS ADDRESS: STREET 1: ONE WALL STREET, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10286 BUSINESS PHONE: 212-495-1784 MAIL ADDRESS: STREET 1: ONE WALL STREET, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10286 FORMER NAME: FORMER CONFORMED NAME: Bank of New York Mellon CORP DATE OF NAME CHANGE: 20070221 4 1 v405484_4.xml OWNERSHIP DOCUMENT X0306 4 2015-03-23 0 0001578620 Alcentra Capital Corp ABDC 0001390777 Bank of New York Mellon Corp ONE WALL STREET NEW YORK NY 10286 0 0 1 0 0001629949 BNY Alcentra Group Holdings, Inc. 10 GRESHAM STREET LONDON X0 EC2V 7JD UNITED KINGDOM 0 0 1 0 Common Stock 2015-03-23 4 P 0 8213 14.2470 A 1459212 I See footnote Common Stock 2015-03-24 4 P 0 8213 14.0047 A 1467425 I See footnote 1,733 of these shares were acquired by Alcentra NY LLC and 6,480 of these shares were acquired by Alcentra Ltd. pursuant to a Rule 10b5-1 trading plan adopted by them on March 23, 2015. Entities controlled by The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are the direct and indirect parent companies of Alcentra NY LLC and Alcentra Ltd. As a result, The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are each deemed to have an indirect pecuniary interest in the reported shares. 1,733 of these shares were acquired by Alcentra NY LLC and 6,480 of these shares were acquired by Alcentra Ltd. pursuant to a Rule 10b5-1 trading plan adopted by them on March 23, 2015. Entities controlled by The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are the direct and indirect parent companies of Alcentra NY LLC and Alcentra Ltd. As a result, The Bank of New York Mellon Corporation and BNY Alcentra Group Holdings, Inc. are each deemed to have an indirect pecuniary interest in the reported shares. Exhibit List: Exhibit 24 - Power of Attorney /s/ David Forbes-Nixon, Chairman and CEO, BNY Alcentra Group Holdings, Inc. 2015-03-25 /s/ Steven Levinson, Attorney-In-Fact for The Bank of New York Mellon Corporation 2015-03-25 EX-24 2 v405484_ex24.htm POWER OF ATTORNEY

Exhibit 24

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS that The Bank of New York Mellon Corporation (the “Company”) does hereby make, constitute and appoint each of Steven Levinson and Prumiys Dulger, (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, designated in writing by one of the attorneys-in-fact), acting individually, as its true and lawful attorney, to execute and deliver in its name and on its behalf, whether the Company is acting individually or as representative of others, any and all filings, be they written or oral, required to be made by the Company with respect to securities which may be deemed to be beneficially owned by the Company or under the Company’s investment discretion under:

the Securities Exchange Act of 1934, as amended (the “Exchange Act”), including those filings required to be submitted on Form 3, 4 or 5, in accordance with Section 16(a) of the Exchange Act and the rules thereunder, and any other forms or reports the Company may be required to file in connection with the Company’s ownership, acquisition, or disposition of securities, and

the laws of any jurisdiction other than the United States of America, including those filings made to disclose securities holdings as required to be submitted to regulatory agencies, exchanges and/or issuers,

giving and granting unto each said attorney-in-fact power and authority to correspond with issuers, regulatory authorities, and other entities as is required in support of the filings referenced above, and to act in the premises as fully and to all intents and purposes as the Company might or could do to comply with the applicable regulations if personally present by one of its authorized signatories (including, but not limited to, instructing local counsel on the Company’s behalf), hereby ratifying and confirming all that said attorney-in-fact shall lawfully do or cause to be done by virtue hereof.

THIS POWER OF ATTORNEY shall remain in full force and effect until either revoked in writing by the Company or until such time as the person or persons to whom power of attorney has been hereby granted cease(s) to be an employee of The Bank of New York Mellon Corporation or one of its affiliates.

This Power of Attorney may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument.

IN WITNESS WHEREOF, the undersigned hereby executes this Power of Attorney effective as of the date set forth below.

THE BANK OF NEW YORK MELLON CORPORATION

By: /s/ Mitchell E. Harris__________________

Name: Mitchell E. Harris

Title: President, Investment Management

Date: March 25, 2015