0001144204-15-022611.txt : 20150414 0001144204-15-022611.hdr.sgml : 20150414 20150414122008 ACCESSION NUMBER: 0001144204-15-022611 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150410 FILED AS OF DATE: 20150414 DATE AS OF CHANGE: 20150414 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: 15768666 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: 15768667 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 v407236_4.xml OWNERSHIP DOCUMENT X0306 4 2015-04-10 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 2015-04-10 4 P 0 7650 14.191 A 1557239 I See footnote Common Stock 2015-04-13 4 P 0 12474 14.1261 A 1569713 I See footnote 1,615 of these shares were acquired by Alcentra NY LLC and 6,035 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. 2,692 of these shares were acquired by Alcentra NY LLC and 9,782 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. /s/ Steven Levinson, Attorney-In-Fact for BNY Alcentra Group Holdings, Inc. 2015-04-14 /s/ Steven Levinson, Attorney-In-Fact for The Bank of New York Mellon Corporation 2015-04-14