4//SEC Filing
Hatfield Paul 4
Accession 0001144204-18-025165
CIK 0001578620other
Filed
May 2, 8:00 PM ET
Accepted
May 3, 7:17 PM ET
Size
9.3 KB
Accession
0001144204-18-025165
Insider Transaction Report
Form 4
Hatfield Paul
Director
Transactions
- Exercise of In-Money
Common Stock
2017-05-22+40,243→ 47,624.623 total - Other
Common Stock
2017-05-22$13.13/sh−40,243$528,391→ 7,381.623 total - Exercise of In-Money
Phantom Stock
2017-05-22−40,243→ 0 total→ Common Stock (40,243 underlying)
Footnotes (2)
- [F1]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.
- [F2]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.
Documents
Issuer
Alcentra Capital Corp
CIK 0001578620
Entity typeother
Related Parties
1- filerCIK 0001607329
Filing Metadata
- Form type
- 4
- Filed
- May 2, 8:00 PM ET
- Accepted
- May 3, 7:17 PM ET
- Size
- 9.3 KB