ABDC / Altmore BDC Inc - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

ABDC / Alcentra Capital Corp. / CAXTON CORP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

ABDC / Alcentra Capital Corp. 15-12B - - 15-12B

15-12B OMB APPROVAL OMB Number: 3235-0167 Expires: May 31, 2021 Estimated average burden hours per response 1.

Power of Attorney for The Bank of New York Mellon Corporation

Exhibit 99.2 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that each of the undersigned (each a “Company”) does hereby make, constitute and appoint each of Nicholas R. Darrow, Ivan Arias and Andrew Weiser (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, associated with the Global Holdings Reporting Group and designated in writing by one of the at

Articles of Incorporation, dated as of January 31, 2020*

EX-3.1 Exhibit 3.1 CONFORMED COPY OF ARTICLES OF INCORPORATION OF ALCENTRA CAPITAL CORPORATION [Conformed copy giving effect to all amendments since the date of filing of the original Articles of Incorporation on August 5, 2019.] FIRST: The name of the corporation (which is hereinafter called the “Corporation”) is: Alcentra Capital Corporation SECOND: The Corporation is formed for the purpose of c

Directors and Executive Officers of the Reporting Person

Exhibit 99.1 The Bank of New York Mellon Corporation The name of each director and executive officer of The Bank of New York Mellon Corporation is set forth below. The business address of each person listed below is c/o The Bank of New York Mellon Corporation, 240 Greenwich Street, New York, New York 10286. Each person is a citizen of the United States of America. Hani Kablawi is also a citizen of

Regulation FD Disclosure, Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 31, 2020 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 814-01064 46-2961489 (State or other jurisdiction of incorporation or

Bylaws, dated as of January 31, 2020*

EX-3.2 Exhibit 3.2 ALCENTRA CAPITAL CORPORATION BYLAWS ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of the Corporation in the State of Maryland shall be located at such place as the Board of Directors may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional offices, including a principal executive office, at such places as the Board of Directors may

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - AMENDMENT NO. 1 TO SCHEDULE 13D Activist Investment

SC 13D/A 1 sc13d0220a1bankofalcentra.htm AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation

ABDC / Alcentra Capital Corp. POS 8C - - POS 8C

As filed with the Securities and Exchange Commission on January 31, 2020 Securities Act File No.

ABDC / Alcentra Capital Corp. N-54C - - FORM N-54C

N-54C 1 tv537373n-54c.htm FORM N-54C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-54C NOTIFICATION OF WITHDRAWAL OF ELECTION TO BE SUBJECT TO SECTIONS 55 THROUGH 65 OF THE INVESTMENT COMPANY ACT OF 1940 FILED PURSUANT TO SECTION 54(c) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned business development company hereby notifies the Securities and Exchange Comm

Alcentra Capital Corporation Announces Stockholder Approval for Merger and Announces Final Dividend Amount

Exhibit 99.1 Alcentra Capital Corporation Announces Stockholder Approval for Merger and Announces Final Dividend Amount NEW YORK — (BUSINESS WIRE) — January 30, 2020 — Alcentra Capital Corporation (“Alcentra Capital”) (NASDAQ: ABDC) today announced that over 98% of stockholders who voted at its special meeting of stockholders held on January 29, 2020 cast their votes in favor of the proposed merge

Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 29, 2020 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 814-01064

ABDC / Alcentra Capital Corp. 425 - Merger Prospectus - 425

Filed by Alcentra Capital Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation Alcentra Capital Corporation Announces Final Dividend Mechanics New York, NY, January 28, 2020 (PRNewswire) - Alcentra Capital Corporation (NASDAQ: ABDC) (“Alcentra Capital” or the “Comp

ABDC / Alcentra Capital Corp. 425 - Merger Prospectus - 425

425 1 tm203791d1425.htm 425 Filed by Alcentra Capital Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation Commission File No. 814-01064 Alcentra Capital Corporation Declares Final Dividend New York, NY, January 17, 2020 (PRNewswire) - Alcentra Capital Corporation

ABDC / Alcentra Capital Corp. 425 - Merger Prospectus - 425

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 7, 2020 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 814-01064 (

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 7, 2020 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 814-01064 (

ABDC / Alcentra Capital Corp. 425 - Merger Prospectus - 425

Filed by Alcentra Capital Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation Commission File No.

FG / FGL Holdings 425 - Merger Prospectus - 425

425 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation Commission File No. 814-01064 SUPPLEMENT TO THE JOINT PROXY STATEMENT FOR THE SPECIAL MEETING OF CRESCENT CAPITAL BDC, INC. STOCKHOLDERS AND THE SPECIAL MEETING OF ALCENTRA CAPITAL COR

ABDC / Alcentra Capital Corp. 425 - Merger Prospectus - 425

425 Filed by Alcentra Capital Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-6(b) of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation Commission File No.

ABDC / Alcentra Capital Corp. DEFM14A - - DEFM14A

DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

ABDC / Alcentra Capital Corp. PRER14A - - PRER14A

PRER14A 1 d808280dprer14a.htm PRER14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 2) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 30, 2019 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 814-01064

ABDC / Alcentra Capital Corp. PRER14A - - PRER14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14A-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confid

FG / FGL Holdings 425 - Merger Prospectus - 425

425 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation; Commission File No. 814-01064 ,Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Ac

ABDC / Alcentra Capital Corp. DEFA14A - - DEFA14A

DEFA14A 1 tm1921944d2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 5, 2019 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of

Alcentra Capital Corporation Announces Third Quarter 2019 Financial Results

Exhibit 99.1 Alcentra Capital Corporation Announces Third Quarter 2019 Financial Results New York, NY, November 5, 2019 (PRNewswire) - Alcentra Capital Corporation (NASDAQ: ABDC) (the "Company"), a provider of debt financing solutions to middle-market companies based primarily in the United States, today announced its financial results for the third quarter of 2019. Third Quarter 2019 Highlights ·

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 5, 2019 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 814-01064

ABDC / Alcentra Capital Corp. 10-Q - Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01064 ALCENTRA CAPITAL CORPORATION (Exact Nam

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 14, 2019 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 1-36447 (C

Alcentra Capital Corporation Declares Fourth Quarter Dividend of $0.18 per Share

Exhibit 99.1 Alcentra Capital Corporation Declares Fourth Quarter Dividend of $0.18 per Share New York, NY, October 14, 2019 (PRNewswire) - Alcentra Capital Corporation (NASDAQ: ABDC) (“Alcentra Capital” or the "Company"), a provider of debt financing solutions to middle-market companies based primarily in the United States, announced today that its Board of Directors declared a fourth quarter div

ABDC / Alcentra Capital Corp. PREM14A - - PREM14A

PREM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

-

CORRESP Monica J. Shilling, P.C. To Call Writer Directly: +1 310 552 4355 [email protected] 2029 Century Park East Suite 1400N Los Angeles, CA 90067 United States +1 310 552 4200 www.kirkland.com Facsimile: +1 310 552 5900 October 3, 2019 VIA EDGAR SUBMISSION Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attention: Vince D

ABDC / Alcentra Capital Corp. DEFA14A - - DEFA14A

Filed by Alcentra Capital Corporation Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Commission File No.

FG / FGL Holdings 425 - Merger Prospectus - 425

425 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation Commission File No. 814-01064 C O R P O R A T E P A R T I C I P A N T S Eunice Han, ADDO Investor Relations Jason Breaux, Chief Executive Officer, Crescent Capital BDC Mike Wilhelms, Chi

FG / FGL Holdings 425 - Merger Prospectus - 425

425 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Acet of 1934 Subject Company: Alcentra Capital Corporation Commission File No. 814-01064Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Acet

ABDC / Alcentra Capital Corp. DEFA14A - - DEFA14A

Filed by Alcentra Capital Corporation Pursuant to Rule 14a-12 Under the Securities Exchange Act of 1934 Commission File No.

FG / FGL Holdings 425 - Merger Prospectus - 425

425 1 d781645d425.htm 425 Filed by Crescent Capital BDC, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Alcentra Capital Corporation Commission File No. 814-01064 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the S

ABDC / Alcentra Capital Corp. DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 12, 2019 Alcentra Capital Corporation (Exact name of Registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation) (Commiss

Form of Voting Agreement, by and among Alcentra Capital Corporation and certain stockholders of Crescent Capital BDC, Inc.

Exhibit 10.1 VOTING AGREEMENT This VOTING AGREEMENT (this “Agreement”) is entered into as of August , 2019, by and among Alcentra Capital Corporation, a Maryland corporation (the “Company”), and (“Stockholder”). W I T N E S S E T H: WHEREAS, as of the date of this Agreement, Stockholder owns the number of shares of common stock, par value $0.001 per share (the “Parent Common Stock”), of Crescent C

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 12, 2019 Alcentra Capital Corporation (Exact name of Registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation) (Commiss

Crescent Capital BDC, Inc. to Acquire Alcentra Capital Corporation

Exhibit 99.1 Crescent Capital BDC, Inc. to Acquire Alcentra Capital Corporation · Establishes a top-15, externally managed, publicly traded BDC with significantly increased market presence and improved economies of scale · Combined company estimated to have over $500 million of net assets and a portfolio in excess of $900 million at close · New best-in-class fee structure with reduced base managem

Agreement and Plan of Merger, dated as of August 12, 2019, by and among Crescent Capital BDC, Inc., Atlantis Acquisition Sub, Inc., Alcentra Capital Corporation and CBDC Advisors, LLC

Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among Crescent Capital BDC, Inc., ATLANTIS ACQUISITION SUB, INC., ALCENTRA CAPITAL CORPORATION and CBDC Advisors, LLC Dated as of August 12, 2019 TABLE OF CONTENTS Article I THE MERGERS Section 1.1 The Mergers 2 Section 1.2 The Closing 3 Section 1.3 Effective Time 3 Section 1.4 Articles of Incorporation and Bylaws 3 Section 1.5 Boar

ABDC / Alcentra Capital Corp. 10-Q - Quarterly Report - FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of Re

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

CUSIP No. 01374T102 SCHEDULE 13D Page 1 of 26 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10

ABDC / Alcentra Capital Corp. 10-Q Quarterly Report FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of R

ABDC / Alcentra Capital Corp. 10-K/A Annual Report FORM 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01064 ALCENTRA CAPITAL CORPORATION (Exact nam

ABDC / Alcentra Capital Corp. DFAN14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6

ABDC / Alcentra Capital Corp. DFAN14A

DFAN14A 1 tv519013dfan14a.htm DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commi

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

CUSIP No. 01374T102 SCHEDULE 13D Page 1 of 35 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10

Alcentra Capital Corporation Announces Strategic Alternatives Review

Exhibit 99.1 Alcentra Capital Corporation Announces Strategic Alternatives Review NEW YORK, April 4, 2019 – Alcentra Capital Corporation (NASDAQ: ABDC) today announced that its Board of Directors has entered into a formal review process to evaluate strategic alternatives for the Company. The Board of Directors has authorized its Committee of Independent Directors to lead the process. Edward Grebow

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 4, 2019 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 1-36447 (Comm

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

CUSIP No. 01374T102 SCHEDULE 13D Page 1 of 29 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 tv5159928-k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 11, 2019 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporatio

Alcentra Capital Corporation Announces Fourth Quarter and Fiscal Year 2018 Financial Results

Exhibit 99.1 Alcentra Capital Corporation Announces Fourth Quarter and Fiscal Year 2018 Financial Results NEW YORK, March 11, 2019 /PRNewswire/ -Alcentra Capital Corporation (NASDAQ: ABDC) ("ABDC" or the "Company"), a provider of debt financing solutions to middle-market companies based primarily in the United States, today announced its financial results for the fourth quarter of 2018. Fourth Qua

ABDC / Alcentra Capital Corp. FORM 10-K (Annual Report)

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01064 ALCENTRA CAPITAL CORPORATION (Exact name

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

CUSIP No. 01374T102 SCHEDULE 13D Page 1 of 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10

ABDC / Alcentra Capital Corp. / CAXTON CORP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

ABDC / Alcentra Capital Corp. DFAN14A

DFAN14A 1 tv511644dfan14a.htm DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ¨ Filed by a Party other than the Registrant x Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commi

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

CUSIP No. 01374T102 SCHEDULE 13D Page 1 of 49 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10

Alcentra Capital Corporation Provides Update on Portfolio Developments and Share Repurchase Activity Continues to Rotate Portfolio and Take Action to Enhance Stockholder Value Has Repurchased 9.0% of Outstanding Shares Since January 1, 2018 Under Sha

Exhibit 99.1 Alcentra Capital Corporation Provides Update on Portfolio Developments and Share Repurchase Activity Continues to Rotate Portfolio and Take Action to Enhance Stockholder Value Has Repurchased 9.0% of Outstanding Shares Since January 1, 2018 Under Share Repurchase Programs NEW YORK, January 14, 2019 – Alcentra Capital Corporation (NASDAQ: ABDC) (“Alcentra Capital” or the “Company”), a

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 14, 2019 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 1-36447 (C

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 11, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland (State or other jurisdiction of incorporation or organization) 1-36447 (

Alcentra Capital Corporation Adopts Share Repurchase Plan

Exhibit 99.1 Alcentra Capital Corporation Adopts Share Repurchase Plan NEW YORK, December 11, 2018 – Alcentra Capital Corporation (NASDAQ: ABDC), (“Alcentra Capital” or the “Company”), a provider of debt financing solutions to middle-market companies based in the United States, announced today that the Company has adopted a trading plan for the purpose of repurchasing shares of its common stock in

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

CUSIP No. 01374T102 SCHEDULE 13D Page 1 of 26 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10

ABDC / Alcentra Capital Corp. FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name

Amended and Restated Senior Secured Revolving Credit Agreement, dated as of September 21, 2018, by and among Alcentra Capital Corporation, as borrower, the lenders party thereto, and ING Capital LLC, as administrative agent, arranger, and bookrunner.(3)

Exhibit 10.1 Execution Version AMENDED AND RESTATED SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of September 21, 2018, among ALCENTRA CAPITAL CORPORATION as Borrower The LENDERS Party Hereto and ING CAPITAL LLC as Administrative Agent, Arranger and Bookrunner TABLE OF CONTENTS Page Article I DEFINITIONS Section 1.01. Defined Terms 1 Section 1.02. Classification of Loans and Borrowings 36 Se

Amended and Restated Guarantee, Pledge and Security Agreement, dated as of September 21, 2018, by and among the Company, as borrower, the subsidiary guarantors party thereto, ING Capital LLC, as revolving administrative agent, and ING Capital LLC, as collateral agent.

Exhibit 10.2 Execution Version AMENDED AND RESTATED GUARANTEE, PLEDGE AND SECURITY AGREEMENT dated as of September 21, 2018 among ALCENTRA CAPITAL CORPORATION, as Borrower, The SUBSIDIARY GUARANTORS Party Hereto ING CAPITAL LLC, as Revolving Administrative Agent for the Revolving Lenders, Each FINANCING AGENT and DESIGNATED INDEBTEDNESS HOLDER Party Hereto and ING CAPITAL LLC, as Collateral Agent

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 21, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation or org

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 16, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation or org

ABDC / Alcentra Capital Corp. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of Re

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

SC 13D/A 1 tv499545sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10006 Tel

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - SCHEDULE 13D Activist Investment

SC 13D 1 tv498580sc13d.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation 240 Greenwich Street New York, Ne

The Bank of New York Mellon Corporation

Exhibit 99.1 The Bank of New York Mellon Corporation The name of each director and executive officer of The Bank of New York Mellon Corporation is set forth below. The business address of each person listed below is c/o The Bank of New York Mellon Corporation, 240 Greenwich Street, New York, New York 10286. Each person is a citizen of the United States of America. Hani Kablawi is also a citizen of

POWER OF ATTORNEY

Exhibit 99.2 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that each of the undersigned (each a “Company”) does hereby make, constitute and appoint each of Nicholas R. Darrow, Ivan Arias and Andrew Weiser (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, associated with the Global Holdings Reporting Group and designated in writing by one of the at

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 22, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation or organi

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 26, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation or organiza

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 19, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation or organiza

ABDC / Alcentra Capital Corp. DEFINITIVE PROXY STATEMENT

SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 Alcentra Capital Corporation (Name of Registrant as Specified in Its Charter) Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): ☒ No fee required.

ABDC / Alcentra Capital Corp. CORRESP

CORRESP 1 filename1.htm Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0805 F: +1 202.637.3593 harrypangas@ eversheds-sutherland.com May 25, 2018 Via EDGAR Securities and Exchange Commission Division of Investment Management Attn: Dominic Minore, Esq. 100 F Street, N.E. Washington, DC 20549 Re: Alcentra Capital Corporation Preliminary Proxy St

ABDC / Alcentra Capital Corp. PRELIMINARY PROXY STATEMENT

SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 Alcentra Capital Corporation (Name of Registrant as Specified in Its Charter) Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): ☒ No fee required.

ABDC / Alcentra Capital Corp. CORRESP

[Letterhead of Eversheds Sutherland (US) LLP] May 11, 2018 VIA EDGAR Division of Investment Management, Disclosure Review Office U.

Other Events

8-K 1 tv4932238k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 4, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of in

Fee Waiver Letter between Alcentra Capital Corporation and Alcentra NY, LLC*

Exhibit 10.2 Alcentra NY LLC 200 Park Avenue, 7th Floor New York, NY 10166 May 4, 2018 David Scopelliti President and Chief Executive Officer Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, NY 10166 Re: Voluntary Base Management Fee Waiver Dear David: Reference is hereby made to the Amended and Restated Investment Advisory Agreement (the “Agreement”), dated May 4, 2018, by and be

ABDC / Alcentra Capital Corp. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of R

Amended And Restated Investment Advisory Agreement between Alcentra Capital Corporation and Alcentra NY, LLC*

Exhibit 10.1 AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT BETWEEN ALCENTRA CAPITAL CORPORATION AND ALCENTRA NY, LLC This Amended and Restated Investment Advisory Agreement (this “Agreement”) made this 4th day of May, 2018, by and between ALCENTRA CAPITAL CORPORATION, a Maryland corporation (the “Company”), and ALCENTRA NY, LLC, a Delaware limited liability company (the “Adviser”). WHEREAS, t

ABDC / Alcentra Capital Corp. 10-K/A (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01064 ALCENTRA CAPITAL CORPORATION (Exact nam

ABDC / Alcentra Capital Corp. FORM 10-K (Annual Report)

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01064 ALCENTRA CAPITAL CORPORATION (Exact name

Amended and Restated Bylaws(2)

Exhibit 3.2 ALCENTRA CAPITAL CORPORATION AMENDED AND RESTATED BYLAWS March 8, 2018 ARTICLE I OFFICES Section 1. PRINCIPAL OFFICE. The principal office of Alcentra Capital Corporation (the “Corporation”) in the State of Maryland shall be located at such place as the board of directors (the “Board of Directors”) may designate. Section 2. ADDITIONAL OFFICES. The Corporation may have additional office

Form of Indemnification Agreement*

Exhibit 10.18 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into effective as of March , 2018 (the “Effective Date”), by and between Alcentra Capital Corporation, a Maryland corporation (collectively, with its affiliates and subsidiaries, the “Company”), and (“Indemnitee”). WHEREAS, at the request of the Company, Indemnitee currently serves as [a d

Amendment No. 6 to the Senior Secured Revolving Credit Agreement, dated as of March 9, 2017 by and among the Company, as borrower, the Lenders party thereto and ING Capital LLC, as Administrative Agent, Arranger and Bookrunner*

Exhibit 10.19 EXECUTION VERSION AMENDMENT NO. 6 TO SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 6 TO SENIOR SECURED REVOLVING CREDIT AGREEMENT (this “Amendment), dated as of March 9, 2018, is made with respect to the Senior Secured Revolving Credit Agreement, dated as of May 8, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”)

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D/A Activist Investment

SC 13D/A 1 tv487642sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway, 12th Floor New York, New York 10006 Tel

ALCENTRA CAPITAL CORPORATION ANNOUNCES Board cHANGES and RECENT Portfolio and Investment Activities

Exhibit 99.1 ALCENTRA CAPITAL CORPORATION ANNOUNCES Board cHANGES and RECENT Portfolio and Investment Activities NEW YORK, January 10, 2018 /PRNewswire/ - Alcentra Capital Corporation (NASDAQ: ABDC) announced that Paul Hatfield has been named as Chairman of the Company replacing Paul Echausse who resigned to devote his time to a new initiative within a non-profit that focuses on charitable endeavo

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

8-K 1 tv4830308k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 4, 2018 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction o

ABDC / Alcentra Capital Corp. / STILWELL JOSEPH - SC 13D Activist Investment

SC 13D 1 tv482203sc13d.htm SC 13D CUSIP No. 01374T102 SCHEDULE 13D Page 1 of 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) ALCENTRA CAPITAL CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) Mr. Joseph Stilwell 111 Broadway,

Computation of Per Share Earnings (included in the Registrant’s statement of operations)

Exhibit 11.1 The following information sets forth the computation of the weighted average basic and diluted net increase in net assets per share from operations for the three months ended September 30, 2017 and September 30, 2016 (dollars in thousands except share and per share amounts): For the three months ended September 30, September 30, Basic and diluted 2017 2016 Net decrease in net assets f

ABDC / Alcentra Capital Corp. FORM 10-Q (Quarterly Report)

10-Q 1 tv47796710q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA

ABDC / Alcentra Capital Corp. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of Re

The following information sets forth the computation of the weighted average basic and diluted net increase in net assets per share from operations for the three months ended June 30, 2017 and June 30, 2016 (dollars in thousands except share and per

Exhibit 11.1 The following information sets forth the computation of the weighted average basic and diluted net increase in net assets per share from operations for the three months ended June 30, 2017 and June 30, 2016 (dollars in thousands except share and per share amounts): For the three months ended Basic and diluted June 30, June 30, 2017 2016 Net increase in net assets from operations $ -5,

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 20, 2017 (June 15, 2017) Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorpora

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - SC 13D/A Activist Investment

SC 13D/A 1 v467630sc13d-a.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation 225 Liberty Street New York, Ne

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on May 18, 2017 Securities Act File No.

2,500,000 Shares Common Stock ($0.001 par value per share) UNDERWRITING AGREEMENT

Exhibit (h) Execution Version 2,500,000 Shares Common Stock ($0.001 par value per share) UNDERWRITING AGREEMENT May 16, 2017 Raymond James & Associates, Inc. As representative of the several Underwriters listed on Schedule I hereto 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: Alcentra Capital Corporation, a Maryland corporation (the ?Company?), proposes to issue and sel

[Letterhead of Eversheds Sutherland (US) LLP] May 18, 2017

EX-99.(L)(2) 3 v467256exl2.htm EXHIBIT (L)(2) Exhibit (l)(2) [Letterhead of Eversheds Sutherland (US) LLP] May 18, 2017 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Re: Alcentra Capital Corporation Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connecti

Consent of Independent Registered Public Accounting Firm

Exhibit (n)(1) Consent of Independent Registered Public Accounting Firm To the Board of Directors of Alcentra Capital Corporation: We consent to the use of our audit report dated March 9, 2017 with respect to the consolidated statements of assets and liabilities of Alcentra Capital Corporation and Subsidiary, including the consolidated schedules of investments, as of December 31, 2016 and 2015, and the related consolidated statements of operations, changes in net assets, and cash flows for the years ended December 31, 2016 and 2015 and for the period from May 8, 2014 (commencement of operations) through December 31, 2014 and the statements of operations, changes in net assets and cash flows of BNY Mellon-Alcentra Mezzanine III, L.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on May 16, 2017 Securities Act File No.

The following information sets forth the computation of the weighted average basic and diluted net increase in net assets per share from operations for the three months ended March 31, 2017 and March 31, 2016 (dollars in thousands except share and pe

Exhibit 11.1 The following information sets forth the computation of the weighted average basic and diluted net increase in net assets per share from operations for the three months ended March 31, 2017 and March 31, 2016 (dollars in thousands except share and per share amounts): For the three months ended Basic and diluted March 31, March 31, 2017 2016 Net increase in net assets from operations $

Alcentra Capital 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of R

Amendment No. 5 to the Senior Secured Revolving Credit Agreement, dated as of April 3, 2017 by and among the Company, as borrower, the Lenders party thereto and ING Capital LLC, as Administrative Agent, Arranger and Bookrunner(26)

Exhibit 10.1 EXECUTION VERSION AMENDMENT NO. 5 TO SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 5 TO SENIOR SECURED REVOLVING CREDIT AGREEMENT (this ?Amendment), dated as of April 3, 2017, is made with respect to the Senior Secured Revolving Credit Agreement, dated as of May 8, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the ?Credit Agreement?),

POWER OF ATTORNEY

Exhibit 24 POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints each of Ellida McMillan and Steven Levinson, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) prepare, execute in the undersigned?s name and on the undersigned?s behalf, and submit to the U.

Alcentra Capital DEF 14A

SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 Alcentra Capital Corporation (Name of Registrant as Specified in Its Charter) Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 v4652978k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 27, 2017 (April 21, 2017) Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other

Alcentra Capital Corporation Announces Management Promotions and Other Changes

EX-99.1 2 v465297ex99-1.htm PRESS RELEASE Exhibit 99.1 Alcentra Capital Corporation Announces Management Promotions and Other Changes NEW YORK, April 27, 2017 /PRNewswire/ - Alcentra Capital Corporation (NASDAQ: “ABDC”) is pleased to announce that Paul Hatfield has been named as Chairman Emeritus of the Company and Paul Echausse has been appointed as Chairman of the Company’s Board of Directors. I

POWER OF ATTORNEY

Exhibit 99.10 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that BNY Alcentra Group Holdings, Inc. (the “Company”) does hereby make, constitute and appoint each of Steven Levinson and Prumiys Dulger, (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, designated in writing by one of the attorneys-in-fact), acting individually, as its true and lawful

POWER OF ATTORNEY

EX-99.11 5 v464786ex99-11.htm POWER OF ATTORNEY Exhibit 99.11 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that each of the undersigned (each a “Company”) does hereby make, constitute and appoint each of Nicholas R. Darrow, Ivan Arias and Andrew Weiser (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, associated with the Global Holdings Reporting

SECOND AMENDED AND RESTATED AGREEMENT OF JOINT FILING

EXHIBIT 99.9 SECOND AMENDED AND RESTATED AGREEMENT OF JOINT FILING The undersigned acknowledge and agree that this Schedule 13D is filed on behalf of each of them and that all subsequent amendments to this Schedule 13D may be filed on behalf of each of them without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - SC 13D/A Activist Investment

SC 13D/A 1 v464786sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation 225 Liberty Street New York, New

The Bank of New York Mellon Corporation

Exhibit 99.8 The Bank of New York Mellon Corporation The name of each director and executive officer of The Bank of New York Mellon Corporation is set forth below. The business address of each person listed below is c/o The Bank of New York Mellon Corporation, 225 Liberty Street, New York, New York 10286. Each person is a citizen of the United States of America. Directors Name Occupation Linda Coo

FORM OF INVESTMENT ADVISORY AGREEMENT ALCENTRA CAPITAL CORPORATION ALCENTRA NY, LLC

EX-10.2 2 v460949ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 FORM OF INVESTMENT ADVISORY AGREEMENT BETWEEN ALCENTRA CAPITAL CORPORATION AND ALCENTRA NY, LLC This Investment Advisory Agreement (this “Agreement”) made this 5th day of May, 2014, by and between ALCENTRA CAPITAL CORPORATION, a Maryland corporation (the “Company”), and ALCENTRA NY, LLC, a Delaware limited liability company (the “Adviser”). WHE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K For the fiscal year ended December 31, 2016 OR COMMISSION FILE NUMBER: 814-01064 ALCENTRA CAPITAL CORPORATION ALCENTRA CAPITAL CORPORATION FORM 10-K FOR THE FISCAL YEAR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 814-01064 ALCENTRA CAPITAL CORPORATION (Exact name of registrant as s

Alcentra Capital ESP

From: Burns, Kristin [mailto:[email protected]] Sent: Wednesday, March 08, 2017 12:13 PM To: [email protected] Cc: Pangas, Harry S. ; Park, Adam Subject: Alcentra Capital Corporation Dominic ? Further to our call, the Company has agreed that in any prospectus supplement (whether or not relating to a takedown to sell selling stockholder shares), this sentence in the N-2: ?The selli

Alcentra Capital ESP

From: Burns, Kristin [mailto:[email protected]] Sent: Wednesday, March 08, 2017 1:08 PM To: [email protected] Cc: Pangas, Harry S. ; Park, Adam Subject: Alcentra Capital Corporation Dominic ? Further to our call, the Company has agreed that in any prospectus supplement (whether or not relating to a takedown to sell selling stockholder shares), this sentence in the N-2: ?The sellin

Alcentra Capital ESP

Alcentra Capital Corporation 200 Park Avenue 7th Floor New York, New York 10166 (212) 922-8240 March 7, 2017 U.

Alcentra Capital ESP

Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.

Alcentra Capital ESP

February 23, 2017 Via EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202.383.0805 F: +1 202.637.3593 harrypangas@ eversheds-sutherland.com Re: Alcentra Capital Corporation ? Registration Statement on Form N-2 Filed on February 23, 2017 Dear Sir/Madam: On behalf of Al

POWER OF ATTORNEY

Exhibit 24 POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints each of Ellida McMillan and Steven Levinson, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) prepare, execute in the undersigned?s name and on the undersigned?s behalf, and submit to the U.

ABDC / Alcentra Capital Corp. / KEMPER Corp - SC 13G/A - ALCENTRA FILING Passive Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN THE STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)* Alcentra Capital Corporation - (Name of Issuer) Common Stock ($0.01 par value) - (Title of Class of Securities) 01374T102 - (CUSIP Number) Decembe

JOINT FILING AGREEMENT

EXHIBIT 1 JOINT FILING AGREEMENT This will confirm the agreement by each of the undersigned to the joint filing of the Schedule 13G filed on its behalf, as well as all subsequent amendments to such Schedule 13G, with respect to the ownership of the common shares of Alcentra Capital Corporation in accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name

Alcentra Capital ESP

Hi Dominic, As a follow up to our conversation this morning, please note that Alcentra Capital Corporation undertakes to make the following changes to the final prospectus included in the above-referenced in connection with any use thereof by it or the selling stockholders described therein: 1.

Alcentra Capital ESP

Alcentra Capital Corporation 200 Park Avenue 7th Floor New York, New York 10166 (212) 922-8240 November 2, 2016 U.

Alcentra Capital ESP

From: Burns, Kristin [mailto:[email protected]] Sent: Monday, October 31, 2016 5:21 PM To: [email protected] Cc: Pangas, Harry S. ; Park, Adam Subject: Alcentra Capital Corporation Dominic, As a follow up to the voicemail I left you and your discussion with Harry on the private fund disclosure, Alcentra Capital Corporation intends to include the language below in its Registration Statemen

Alcentra Capital ESP

SUTHERLAND ASBILL & BRENNAN LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 202.

Alcentra Capital ESP

[Sutherland Asbill & Brennan LLP Letterhead] August 18, 2016 Via Edgar U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Alcentra Capital Corporation ? Registration Statement on Form N-2 Filed on August 18, 2016 Dear Sir/Madam: On behalf of Alcentra Capital Corporation (the ?Company?), we hereby respectfully request that the staff of the Securities and Exchange Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of Re

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on July 14, 2016 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] July 14, 2016

EX-99.L(3) 3 v444264ex99-l3.htm EXHIBIT (L)(3) Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] July 14, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No. 333-205

Form of Global Note relating to the Alcentra Capital InterNotes® 6.25% Notes due 2021 (included as Exhibit A to the Form of Eighteenth Supplemental Indenture) (incorporated by reference to Exhibit 4.28 to the Company’s Form 8-K filed on February 3, 2020).

EX-99.(D)(38) 2 v444264ex99-d38.htm EXHIBIT (D)(38) Exhibit (d)(38) EIGHTEENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of July 14, 2016 THIS EIGHTEENTH SUPPLEMENTAL INDENTURE (this “Eighteenth Supplemental Indenture”), dated as of July 14, 2016, is between Alcentra Capital Corporation, a Maryland corporation (the “Company”

[Letterhead of Sutherland Asbill & Brennan LLP] July 8, 2016

Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] July 8, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.25% Notes due 2021 (included as Exhibit A to the Form of Seventeenth Supplemental Indenture) (incorporated by reference to Exhibit 4.26 to the Company’s Form 8-K filed on February 3, 2020).

EX-99.(D)(36) 2 v443843exd36.htm EXHIBIT (D)(36) Exhibit (d)(36) SEVENTEENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of July 8, 2016 THIS SEVENTEENTH SUPPLEMENTAL INDENTURE (this “Seventeenth Supplemental Indenture”), dated as of July 8, 2016, is between Alcentra Capital Corporation, a Maryland corporation (the “Company”),

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on July 8, 2016 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] June 30, 2016

Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] June 30, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on June 30, 2016 Securities Act File No.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.375% Notes due 2021 (included as Exhibit A to the Form of Sixteenth Supplemental Indenture) (incorporated by reference to Exhibit 4.24 to the Company’s Form 8-K filed on February 3, 2020).

Exhibit (d)(34) SIXTEENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.375% Notes due 2021 (included as Exhibit A to the Form of Fifteenth Supplemental Indenture) (incorporated by reference to Exhibit 4.22 to the Company’s Form 8-K filed on February 3, 2020).

Exhibit (d)(32) FIFTEENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on June 24, 2016 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] June 23, 2016

EX-99.(L)(3) 3 v442787ex99l3.htm EXHIBIT (L)(3) Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] June 23, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No. 333-20

Form of Global Note relating to the Alcentra Capital InterNotes® 6.375% Notes due 2021 (included as Exhibit A to the Form of Fourteenth Supplemental Indenture) (incorporated by reference to Exhibit 4.20 to the Company’s Form 8-K filed on February 3, 2020).

Exhibit (d)(30) FOURTEENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

[Letterhead of Sutherland Asbill & Brennan LLP] June 16, 2016

Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] June 16, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on June 16, 2016 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] May 31, 2016

Exhibit (l)(2) [Letterhead of Sutherland Asbill & Brennan LLP] May 31, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

SELLING AGENT AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC Incapital LLC May 31, 2016

Exhibit h.1 Execution Version SELLING AGENT AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC and Incapital LLC May 31, 2016 May 31, 2016 Alcentra Capital Corporation, a corporation organized under the laws of Maryland (the ?Company?), Alcentra NY, LLC, a Delaware limited liability company (the ?Adviser?) registered as an investment adviser under the Investment Advisers Act of

[Letterhead of Sutherland Asbill & Brennan LLP] June 9, 2016

Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] June 9, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.375% Notes due 2021 (included as Exhibit A to the Form of Thirteenth Supplemental Indenture) (incorporated by reference to Exhibit 4.18 to the Company’s Form 8-K filed on February 3, 2020)).

EX-99.(D)(28) 2 v441416ex99d28.htm EXHIBIT (D)(28) Exhibit d.28 THIRTEENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of June 9, 2016 THIS THIRTEENTH SUPPLEMENTAL INDENTURE (this “Thirteenth Supplemental Indenture”), dated as of June 9, 2016, is between Alcentra Capital Corporation, a Maryland corporation (the “Company”), and

Consent of Independent Registered Public Accounting Firm

Exhibit (n)(3) KPMG LLP 345 Park Avenue New York, NY 10154-0102 Consent of Independent Registered Public Accounting Firm To the Board of Directors of Alcentra Capital Corporation: We consent to the use of our audit reports dated March 9, 2016 with respect to the consolidated statements of assets and liabilities, including the consolidated schedules of investments of Alcentra Capital Corporation as

Alcentra Capital POS EX

POS EX 1 v441416posex.htm POS EX As filed with the Securities and Exchange Commission on June 9, 2016 Securities Act File No. 333-205154 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 o Pre-Effective Amendment No. x Post-Effective Amendment No. 4 ALCENTRA CAPITAL CORPORATION (Exact Name of Registrant as Specified in C

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 18, 2016 (May 16, 2016) Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of R

Amendment No. 4 to the Senior Secured Revolving Credit Agreement, dated as of March 2, 2016 by and among the Company, as borrower, the Lenders party thereto and ING Capital LLC, as Administrative Agent, Arranger and Bookrunner(19)

EX-10.1 2 v438476ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 EXECUTION VERSION AMENDMENT NO. 4 AND LIMITED WAIVER TO SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 4 AND LIMITED WAIVER TO SENIOR SECURED REVOLVING CREDIT AGREEMENT (this “Amendment”), dated as of March 2, 2016, is made with respect to the Senior Secured Revolving Credit Agreement, dated as of May 8, 2014 (as amended, restated

ABDC / Alcentra Capital Corp. CORRESP - -

[Sutherland Asbill & Brennan LLP Letterhead] April 14, 2016 VIA EDGAR Mr. Dominic Minore Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Alcentra Capital Corporation Proxy Statement Dear Mr. Minore: On behalf of Alcentra Capital Corporation (the “Company”), set forth below are the Company’s responses to the commen

Alcentra Capital DEF 14A

SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 Alcentra Capital Corporation (Name of Registrant as Specified in Its Charter) Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required.

Alcentra Capital PRE 14A

PRE 14A 1 v434797pre14a.htm PRE 14A SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted b

POWER OF ATTORNEY

Exhibit 24 POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints each of Ellida McMillan and Steven Levinson, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) prepare, execute in the undersigned?s name and on the undersigned?s behalf, and submit to the U.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K For the fiscal year ended December 31, 2015 OR COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION Registrant’s telephone number, including area code: (212) 92

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact name of registrant as spe

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on February 19, 2016 Securities Act File No.

SALES AGENCY AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC Incapital LLC February 8, 2016

EX-99.(H)(3) 3 v432295ex99-h3.htm EXHIBIT (H)(3) Exhibit (h)(3) SALES AGENCY AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC and Incapital LLC February 8, 2016 February 8, 2016 Alcentra Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Alcentra NY, LLC, a Delaware limited liability company (the “Adviser”) registered as an investment advi

[Letterhead of Sutherland Asbill & Brennan LLP] February 19, 2016

EX-99.(L)(4) 4 v432295ex99-l4.htm EXHIBIT (L)(4) Exhibit (l)(4) [Letterhead of Sutherland Asbill & Brennan LLP] February 19, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No. 3

Form of Global Note relating to the Alcentra Capital InterNotes® 6.50% Notes due 2021 (included as Exhibit A to the Form of Twelfth Supplemental Indenture) (incorporated by reference to Exhibit 4.16 to the Company’s Form 8-K filed on February 3, 202)).

Exhibit (d)(26) TWELFTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

[Letterhead of Sutherland Asbill & Brennan LLP] February 11, 2016

Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] February 11, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.50% Notes due 2021 (included as Exhibit A to the Form of Eleventh Supplemental Indenture) (incorporated by reference to Exhibit 4.14 to the Company’s Form 8-K filed on February 3, 2020).

EX-99.D24 2 v431449ex-d24.htm EXHIBIT (D)(24) Exhibit (d)(24) ELEVENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of February 11, 2016 THIS ELEVENTH SUPPLEMENTAL INDENTURE (this “Eleventh Supplemental Indenture”), dated as of February 11, 2016, is between Alcentra Capital Corporation, a Maryland corporation (the “Company”), a

SALES AGENCY AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC Incapital LLC February 1, 2016

Exhibit (h)(2) SALES AGENCY AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC and Incapital LLC February 1, 2016 February 1, 2016 Alcentra Capital Corporation, a corporation organized under the laws of Maryland (the “Company”), Alcentra NY, LLC, a Delaware limited liability company (the “Adviser”) registered as an investment adviser under the Investment Advisers Act of 1940, as amended, and the rules and regulations promulgated thereunder (the “Advisers Act”), and Incapital LLC, an Illinois limited liability company (the “Purchasing Agent”), confirm their agreement in the form of this Sales Agency Agreement (this “Agreement”) as follows: I.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on February 11, 2016 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] February 4, 2016

Exhibit (l)(2) [Letterhead of Sutherland Asbill & Brennan LLP] February 4, 2016 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

SALES AGENCY AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC Incapital LLC January 25, 2016

Exhibit (h) SALES AGENCY AGREEMENT by and among Alcentra Capital Corporation, Alcentra NY, LLC and Incapital LLC January 25, 2016 January 25, 2016 Alcentra Capital Corporation, a corporation organized under the laws of Maryland (the ?Company?), Alcentra NY, LLC, a Delaware limited liability company (the ?Adviser?) registered as an investment adviser under the Investment Advisers Act of 1940, as amended, and the rules and regulations promulgated thereunder (the ?Advisers Act?), and Incapital LLC, an Illinois limited liability company (the ?Purchasing Agent?), confirm their agreement in the form of this Sales Agency Agreement (this ?Agreement?) as follows: I.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.50% Notes due 2021 (included as Exhibit A to the Form of Tenth Supplemental Indenture) (incorporated by reference to Exhibit 4.12 to the Company’s Form 8-K filed on February 3, 2020).

Exhibit (d)(22) TENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on February 4, 2016 Securities Act File No.

JOINT FILING AGREEMENT

EX-1 2 exhibit1-alcentrajointfili.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT This will confirm the agreement by each of the undersigned to the joint filing of the Schedule 13G filed on its behalf, as well as all subsequent amendments to such Schedule 13G, with respect to the ownership of the common shares of Alcentra Capital Corporation in accordance with Rule 13d-1(k)(1) under the Securities

ABDC / Alcentra Capital Corp. / KEMPER Corp - SC 13G Passive Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN THE STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)* Alcentra Capital Corporation - (Name of Issuer) Common Stock ($0.01 par value) - (Title of Class of Securities) 01374T102 - (CUSIP Number) December

Other Events

8-K 1 v4281778k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2015 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction

Alcentra Capital ESP

CORRESP 1 filename1.htm SUTHERLAND ASBILL & BRENNAN LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 202.383.0100 Fax 202.637.3593 www.sutherland.com HARRY S. PANGAS DIRECT LINE: 202.383.0805 E-mail: [email protected] December 21, 2015 Dominic Minore, Esq. Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20

Alcentra Capital ESP

Alcentra Capital Corporation 200 Park Avenue 7th Floor New York, New York 10166 (212) 922-8240 December 18, 2015 U.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - SCHEDULE 13D AMENDMENT NO. 3 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation One Wall Street New York, New York 10286 (Name, Address and Telephone

The Bank of New York Mellon Corporation

EX-99.6 2 v421135ex99-6.htm DIRECTORS AND EXECUTIVE OFFICERS OF THE REPORTING PERSONS Exhibit 99.6 The Bank of New York Mellon Corporation The name of each director and executive officer of The Bank of New York Mellon Corporation is set forth below. The business address of each person listed below is c/o The Bank of New York Mellon Corporation, One Wall Street, New York, New York 10286. Each perso

AMENDED AND RESTATED AGREEMENT OF JOINT FILING

EXHIBIT 99.7 AMENDED AND RESTATED AGREEMENT OF JOINT FILING The undersigned acknowledge and agree that this Schedule 13D is filed on behalf of each of them and that all subsequent amendments to this Schedule 13D may be filed on behalf of each of them without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 12, 2015 (August 11, 2015) Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incor

Amendment No. 3 to the Senior Secured Revolving Credit Agreement, dated as of August 11, 2015, by and among the Company as borrower, the Lenders party thereto and ING Capital LLC, as Administrative Agent, Arranger and Bookrunner(14)

EX-10.1 2 v418001ex10-1.htm EX-10.1 Exhibit 10.1 AMENDMENT NO. 3 TO SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 3 (this “Amendment), dated as of August 11, 2015, is made with respect to the Senior Secured Revolving Credit Agreement, dated as of May 8, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among ALCENTRA CAPITAL C

Incremental Commitment Agreement, dated as of August 11, 2015, by and among the Company, as borrower, the Increasing Lenders party thereto and ING Capital LLC, as Administrative Agent and Collateral Agent(14)

Exhibit 10.2 INCREMENTAL COMMITMENT AGREEMENT dated as of August 11, 2015, made by the INCREASING lenders party hereto, as Increasing Lenders relating to the SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of May 8, 2014, among ALCENTRA CAPITAL CORPORATION, as Borrower, The Lenders Parties Thereto, and ING CAPITAL LLC, as Administrative Agent and Collateral Agent INCREMENTAL COMMITMENT AGREEMEN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of Re

Alcentra Capital ESP

[Sutherland Asbill & Brennan LLP Letterhead] June 25, 2015 Via Edgar U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Alcentra Capital Corporation ? Registration Statement on Form N-2 Dear Sir/Madam: On behalf of Alcentra Capital Corporation (the ?Company?), on June 23, 2015, we transmitted for filing under the Securities Act of 1933, as amended (the ?Securities

Alcentra Capital 8-K (Current Report/Significant Event)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 17, 2015 (June 15, 2015) Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorpora

Alcentra Capital DEFA14A

SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14a-12 Alcentra Capital Corporation (Name of Registrant as Specified in Its Charter) Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of R

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - SC 13D/A Activist Investment

SC 13D/A 1 v409761sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation One Wall Street New York, New Yo

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - SC 13D/A Activist Investment

SC 13D/A 1 v408908sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation One Wall Street New York, New Yo

The Bank of New York Mellon Corporation

EX-99.5 3 v408908ex99-5.htm EXHIBIT 99.5 Exhibit 99.5 The Bank of New York Mellon Corporation The name of each director and executive officer of The Bank of New York Mellon Corporation is set forth below. The business address of each person listed below is c/o The Bank of New York Mellon Corporation, One Wall Street, New York, New York 10286. Each person is a citizen of the United States of Americ

THE BANK OF NEW YORK MELLON CORPORATION DESIGNATION OF POWER OF ATTORNEY

EX-99.4 2 v408908ex99-4.htm EXHIBIT 99.4 Exhibit 99.4 THE BANK OF NEW YORK MELLON CORPORATION DESIGNATION OF POWER OF ATTORNEY I, Nicholas R. Darrow, in my capacity as Attorney-in Fact for The Bank of New York Mellon Corporation (“BNY Mellon Corporation”) and those BNY Mellon Corporation subsidiaries listed on Exhibit A attached hereto (the “BNY Mellon Subsidiaries”, and together with BNY Mellon C

Alcentra Capital Corporation Announces Successful Completion of $40 million Unsecured Note Offering

Exhibit 99.1 Alcentra Capital Corporation Announces Successful Completion of $40 million Unsecured Note Offering NEW YORK? April 16, 2015 (BUSINESS WIRE) ? Alcentra Capital Corporation (NASDAQ Global Select Market: ?ABDC?) (?Alcentra?) announced today that Alcentra has successfully completed the issuance of $40 million in aggregate principal amount of unsecured notes (the ?Notes?). The Notes have

Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 v4075328k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 15, 2015 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdictio

[Letterhead of Sutherland Asbill & Brennan LLP] April 15, 2015

Exhibit (l)(10) [Letterhead of Sutherland Asbill & Brennan LLP] April 15, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.50% Notes due 2020 (included as Exhibit A to the Form of Ninth Supplemental Indenture) (incorporated by reference to Exhibit 4.10 to the Company’s Form 8-K filed on February 3, 2020).

Exhibit (d)(20) NINTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

Form of Global Note relating to the Alcentra Capital InterNotes® 6.25% Notes due 2020 (included as Exhibit A to the Form of Eighth Supplemental Indenture) (incorporated by reference to Exhibit 4.8 to the Company’s Form 8-K filed on February 3, 2020).

Exhibit (d)(18) EIGHTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

Alcentra Capital POS EX

POS EX 1 v407046posex.htm POS EX As filed with the Securities and Exchange Commission on April 15, 2015 Securities Act File No. 333-199622 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 o Pre-Effective Amendment No. x Post-Effective Amendment No. 8 ALCENTRA CAPITAL CORPORATION (Exact Name of Registrant as Specified in

Alcentra Capital PROXY STATEMENT

SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Pro

Form of Global Note relating to the Alcentra Capital InterNotes® 6.750% Notes due 2022 (included as Exhibit A to the Form of Seventh Supplemental Indenture (incorporated by reference to Exhibit 4.6 to the Company’s Form 8-K filed on February 3, 2020).

Exhibit d(16) SEVENTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

Form of Global Note relating to the Alcentra Capital Internotes® 6.375% Notes due 2020 (included as Exhibit A to the Form of Sixth Supplemental Indenture)(12)

Exhibit d(14) SIXTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

[Letterhead of Sutherland Asbill & Brennan LLP] April 2, 2015

Exhibit (l)(8) [Letterhead of Sutherland Asbill & Brennan LLP] April 2, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

[Letterhead of Sutherland Asbill & Brennan LLP] April 2, 2015

Exhibit (l)(9) [Letterhead of Sutherland Asbill & Brennan LLP] April 2, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on April 2, 2015 Securities Act File No.

Alcentra Capital PRE 14A

PRE 14A 1 v405341pre14a.htm PRE 14A SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted b

Consent of Independent Registered Public Accounting Firm

Exhibit (n)(2) Consent of Independent Registered Public Accounting Firm To the Board of Directors of Alcentra Capital Corporation: We consent to the use of our audit reports dated March 18, 2015 with respect to the consolidated financial statements of Alcentra Capital Corporation as of December 31, 2014 and for the period from May 8, 2014 to December 31, 2014, and the financial statements of BNY Mellon-Alcentra Mezzanine III, L.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on March 20, 2015 Securities Act File No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact name

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact name of registrant as spe

POWER OF ATTORNEY

Exhibit 99.3 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that each of the undersigned (each a "Company") does hereby make, constitute and appoint each of Kenneth J. Bradle, John E. Thomas, Jr., Nicholas R. Darrow, (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, designated in writing by one of the attorneys-in-fact), acting individually, its tr

ABDC / Alcentra Capital Corp. / Bank of New York Mellon Corp - SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Alcentra Capital Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 01374T102 (CUSIP Number) The Bank of New York Mellon Corporation One Wall Street New York, New York 10286 (Name, Address and Telephone Num

AGREEMENT OF JOINT FILING

Exhibit 99.2 AGREEMENT OF JOINT FILING The undersigned acknowledge and agree that this Schedule 13D is filed on behalf of each of them and that all subsequent amendments to this Schedule 13D may be filed on behalf of each of them without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, a

The Bank of New York Mellon Corporation

Exhibit 99.1 The Bank of New York Mellon Corporation The name of each director and executive officer of The Bank of New York Mellon Corporation is set forth below. The business address of each person listed below is c/o The Bank of New York Mellon Corporation, One Wall Street, New York, New York 10286. Each person is a citizen of the United States of America. Directors Name Occupation Nicholas M.

[Letterhead of Sutherland Asbill & Brennan LLP] March 5, 2015

Exhibit (l)(7) [Letterhead of Sutherland Asbill & Brennan LLP] March 5, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the ?Company?), in connection with the registration statement on Form N-2 (File No.

Form of Global Note relating to the Alcentra Capital Internotes® 6.375% Notes due 2020 (included as Exhibit A to the Form of Fifth Supplemental Indenture)(10)

Exhibit (d)(12) FIFTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

Alcentra Capital POS EX

As filed with the Securities and Exchange Commission on March 5, 2015 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] February 26, 2015

Exhibit (l)(6) [Letterhead of Sutherland Asbill & Brennan LLP] February 26, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

Form of Global Note relating to the Alcentra Capital Internotes® 6.375% Notes due 2020 (included as Exhibit A to the Form of Fourth Supplemental Indenture)(9)

Exhibit (d)(10) FOURTH SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

ABDC / Alcentra Capital Corp. POS EX - - FORM POS EX

As filed with the Securities and Exchange Commission on February 26, 2015 Securities Act File No.

Form of Global Note relating to the Alcentra Capital Internotes® 6.375% Notes due 2020 (included as Exhibit A to the Form of Third Supplemental Indenture)(8)

EX-99.D.8 2 v402275ex99-d8.htm EXHIBIT (D)(8) Exhibit (d)(8) THIRD SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.S. BANK NATIONAL ASSOCIATION, as Trustee Dated as of February 20, 2015 THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of February 20, 2015, is between Alcentra Capital Corporation, a Maryland corporation (the “Company”), and U.S. Ba

[Letterhead of Sutherland Asbill & Brennan LLP] February 20, 2015

Exhibit (l)(5) [Letterhead of Sutherland Asbill & Brennan LLP] February 20, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

ABDC / Alcentra Capital Corp. POS EX - - FORM POS EX

As filed with the Securities and Exchange Commission on February 20, 2015 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] January 30, 2015

EX-99.L.3 3 v402275ex99-l3.htm EXHIBIT (L)(3) Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] January 30, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No. 333-1

[Letterhead of Sutherland Asbill & Brennan LLP] February 12, 2015

Exhibit (l)(4) [Letterhead of Sutherland Asbill & Brennan LLP] February 12, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

ABDC / Alcentra Capital Corp. POS EX - - FORM POS EX

As filed with the Securities and Exchange Commission on February 12, 2015 Securities Act File No.

Form of Global Note relating to the Alcentra Capital Internotes® 6.375% Notes due 2020 (included as Exhibit A to the Form of Second Supplemental Indenture)(7)

Exhibit d(6) SECOND SUPPLEMENTAL INDENTURE between ALCENTRA CAPITAL CORPORATION and U.

ABDC / Alcentra Capital Corp. POS EX - - POS EX

As filed with the Securities and Exchange Commission on January 30, 2015 Securities Act File No.

[Letterhead of Sutherland Asbill & Brennan LLP] January 30, 2015

Exhibit (l)(3) [Letterhead of Sutherland Asbill & Brennan LLP] January 30, 2015 Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, New York 10166 Ladies and Gentlemen: We have acted as counsel to Alcentra Capital Corporation, a Maryland corporation (the “Company”), in connection with the registration statement on Form N-2 (File No.

ABDC / Alcentra Capital Corp. / KEMPER Corp - SC 13G Passive Investment

SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN THE STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) Alcentra Capital Corporation (Name of Issuer) Common Stock ($0.01 par value) (Title of Class of Securities) 01374T102 (CUSIP Number) December 31, 2014 (Date of

ABDC / Alcentra Capital Corp. CORRESP - -

HARRY S. PANGAS DIRECT LINE: 202.383.0805 E-mail: [email protected] January 28, 2014 Mr. Dominic Minore Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Alcentra Capital Corporation (the “Company”) Registration Statement on Form N-2 (File No. 333- 199622) (the “Registration Statement”) Dear Mr. Minore: As per

POWER OF ATTORNEY

Exhibit 99.2 POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS that each of the undersigned (each a "Company") does hereby make, constitute and appoint each of Kenneth J. Bradle, John E. Thomas, Jr., Nicholas R. Darrow, (and any other employee of The Bank of New York Mellon Corporation, or one of its affiliates, designated in writing by one of the attorneys-in-fact), acting individually, its tr

ABDC / Alcentra Capital Corp. CORRESP - -

Alcentra Capital Corporation 200 Park Avenue, 7th Floor New York, NY 10166 Incapital LLC 200 South Wacker Drive, Suite 3700 Chicago Illinois 60606 January 28, 2015 Mr.

AGREEMENT OF JOINT FILING

Exhibit 99.1 AGREEMENT OF JOINT FILING In accordance with Rule 13d-l(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned acknowledge and agree that this Schedule 13G is filed on behalf of each of the them and that all subsequent amendments to this Schedule 13G may be filed on behalf of each of them without the necessity of filing additional joint filing agreements. The und

ABDC / Alcentra Capital Corp. / Alcentra Investments Ltd - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Alcentra Capital Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 01374T 102 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which the Schedule is f

ABDC / Alcentra Capital Corp. CORRESP - -

HARRY S. PANGAS DIRECT LINE: 202.383.0805 E-mail: [email protected] January 27, 2014 Mr. Dominic Minore Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Alcentra Capital Corporation Registration Statement on Form N-2 File No. 333-199622 Dear Mr. Minore: On behalf of Alcentra Capital Corporation (the “Company”)

ABDC / Alcentra Capital Corp. CORRESP - -

Alcentra Capital Corporation 200 Park Avenue 7th Floor New York, New York 10166 (212) 922-8240 January 28, 2015 U.

ABDC / Alcentra Capital Corp. CORRESP - -

HARRY S. PANGAS DIRECT LINE: 202.383.0805 E-mail: [email protected] January 27, 2014 Mr. Dominic Minore Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Alcentra Capital Corporation Registration Statement on Form N-2 File No. 333-199622 Dear Mr. Minore: On behalf of Alcentra Capital Corporation (the “Company”)

ABDC / Alcentra Capital Corp. CORRESP - -

INCAPITAL LLC 200 South Wacker Drive, Suite 3700 Chicago, Illinois 60606 January 28, 2015 VIA EDGAR Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.

ALCENTRA CAPITAL INCREASES REVOLVER TO $115 MILLION

EX-99.1 4 v397639ex99-1.htm EX-99.1 Exhibit 99.1 ALCENTRA CAPITAL INCREASES REVOLVER TO $115 MILLION Dec 22, 2014 NEW YORK, Dec. 22, 2014 /PRNewswire/ - Alcentra Capital Corporation (NASDAQ: ABDC) increased their revolving credit facility to $115 million. The revolver was increased by $35.0 million via an amendment. There is an accordion feature that allows the facility to increase to $160.0 milli

Incremental Commitment Agreement, dated as of December 19, 2014, by and among the Company, as borrower, the Increasing Lenders party thereto and ING Capital LLC as Administrative Agent and Collateral Agent(11)

Exhibit 10.2 INCREMENTAL COMMITMENT AGREEMENT dated as of December 19, 2014, made by the INCREASING lenders party hereto, as Increasing Lenders relating to the SENIOR SECURED REVOLVING CREDIT AGREEMENT dated as of May 8, 2014, among ALCENTRA CAPITAL CORPORATION, as Borrower, The Lenders Parties Thereto, and ING CAPITAL LLC, as Administrative Agent and Collateral Agent INCREMENTAL COMMITMENT AGREEM

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 19, 2014 Alcentra Capital Corporation (Exact name of registrant as specified in its charter) Maryland 1-36447 46-2961489 (State or other jurisdiction of incorporation or orga

Amendment No. 1 to the Senior Revolving Credit Agreement, dated December 19, 2014, by and among the Company as borrower, the Lenders party thereto and ING Capital LLC, as Administrative Agent, Arranger and Bookrunner(11)

Exhibit 10.1 AMENDMENT NO. 1 TO SENIOR SECURED REVOLVING CREDIT AGREEMENT This AMENDMENT NO. 1 (this “Amendment), dated as of December 19, 2014, is made with respect to the Senior Secured Revolving Credit Agreement, dated as of May 8, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among ALCENTRA CAPITAL CORPORATION, a Maryland corporation

ABDC / Alcentra Capital Corp. CORRESP - -

HARRY S. PANGAS DIRECT LINE: 202.383.0805 E-mail: [email protected] December 19 , 2014 Mr. Dominic Minore Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Alcentra Capital Corporation Registration Statement on Form N-2 File No. 333-199622 Dear Mr. Minore: On behalf of Alcentra Capital Corporation (the “Company

ABDC / Alcentra Capital Corp. CORRESP - -

HARRY S. PANGAS DIRECT LINE: 202.383.0805 E-mail: [email protected] December 9, 2014 Mr. Dominic Minore Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Alcentra Capital Corporation Registration Statement on Form N-2 File No. 333-199622 Dear Mr. Minore: On behalf of Alcentra Capital Corporation (the “Company”)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 COMMISSION FILE NUMBER: 1-36447 ALCENTRA CAPITAL CORPORATION (Exact Name of Re