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