0001144204-18-025165.txt : 20180503 0001144204-18-025165.hdr.sgml : 20180503 20180503191702 ACCESSION NUMBER: 0001144204-18-025165 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170522 FILED AS OF DATE: 20180503 DATE AS OF CHANGE: 20180503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatfield Paul CENTRAL INDEX KEY: 0001607329 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-01064 FILM NUMBER: 18805581 MAIL ADDRESS: STREET 1: C/O ALCENTRA CAPITAL CORP. STREET 2: 200 PARK AVE., 7TH FL. CITY: NEW YORK STATE: NY ZIP: 10166 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 4 1 tv492971_4.xml OWNERSHIP DOCUMENT X0306 4 2017-05-22 0 0001578620 Alcentra Capital Corp ABDC 0001607329 Hatfield Paul C/O ALCENTRA CAPITAL CORPORATION 200 PARK AVE., 7TH FL. NEW YORK NY 10166 1 0 0 0 Common Stock 2017-05-22 4 X 0 40243 A 47624.6231 D Common Stock 2017-05-22 4 J 0 40243 13.13 D 7381.6231 D Phantom Stock 2017-05-22 4 X 0 40243 D Common Stock 40243 0 D On February 28, 2018, the reporting person received a cash payout of his interest in the Alcentra Limited Long Term Incentive Plan ("LTIP"), which amount included the cash equivalent of 40,243 shares of Issuer common stock that had been held pursuant to the LTIP and were sold by the LTIP in a registered offering on May 22, 2017 for $13.13 per share. Each share of phantom stock is the economic equivalent of one share of the Issuer's common stock and entitled the reporting person to receive, on February 28, 2018, the cash value thereof. The reporting person's shares of phantom stock were settled for cash under the LTIP on May 22, 2017, as discussed in footnote 1 above. The LTIP was designed to provide participants with the opportunity to tie the value of their LTIP award to the investment results of Alcentra products and included a purchase plan for Issuer common stock. /s/ Steven Levinson, attorney-in-fact 2018-05-03