| Accession Number: | 0001144204-15-023696 |
| Date: | 2015-04-16 |
| Issuer: | ALCENTRA CAPITAL CORP (ABDC) |
| Original Submission Date: |
BANK OF NEW YORK MELLON CORP
ONE WALL STREET
NEW YORK, NY 10286
BNY ALCENTRA GROUP HOLDINGS, INC.
10 GRESHAM STREET
LONDON, X0 EC2V 7JD
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2015-04-16 | P | 3,694 | a | $13.80 | 1,582,233 | indirect | f1 | |
| COMMON STOCK | 2015-04-17 | P | 8,300 | a | $13.93 | 1,590,533 | indirect | f2 |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|
| ID | footnote |
|---|---|
| f1 | 780 of these shares were acquired by alcentra ny llc and 2,914 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. |
| f2 | 1,752 of these shares were acquired by alcentra ny llc and 6,548 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. |
