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 filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 01374T 102
|
SCHEDULE 13G |
Page 1 of 6 |
| 1. | NAMES OF REPORTING PERSONS
Alcentra Investments Limited
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
00-0000000 | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ]
| ||
| 3. | SEC USE ONLY
| ||
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION
Bermuda | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5.
| SOLE VOTING POWER
0 | |
6.
| SHARED VOTING POWER
1,450,999 | ||
7.
| SOLE DISPOSITIVE POWER
0 | ||
8.
| SHARED DISPOSITIVE POWER
1,450,999 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,450,999 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* []
| ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
10.73%
| ||
| 12. | TYPE OF REPORTING PERSON*
CO | ||
CUSIP No. 01374T 102
|
SCHEDULE 13G |
Page 2 of 6 |
| 1. | NAMES OF REPORTING PERSONS
BNY Alcentra Group Holdings, Inc.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
57-1236745 | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ]
| ||
| 3. | SEC USE ONLY
| ||
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5.
| SOLE VOTING POWER
0 | |
6.
| SHARED VOTING POWER
1,511,499 | ||
7.
| SOLE DISPOSITIVE POWER
0 | ||
8.
| SHARED DISPOSITIVE POWER
1,511,499 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,511,499 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* []
| ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.18%
| ||
| 12. | TYPE OF REPORTING PERSON*
CO | ||
CUSIP No. 01374T 102
|
SCHEDULE 13G |
Page 3 of 6 |
| 1. | NAMES OF REPORTING PERSONS
The Bank of New York Mellon Corporation
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
13-2614959 | ||
| 2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ]
| ||
| 3. | SEC USE ONLY
| ||
| 4. | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware | ||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5.
| SOLE VOTING POWER
0 | |
6.
| SHARED VOTING POWER
1,511,499 | ||
7.
| SOLE DISPOSITIVE POWER
0 | ||
8.
| SHARED DISPOSITIVE POWER
1,511,499 | ||
| 9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,511,499 | ||
| 10. | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* []
| ||
| 11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.18%
| ||
| 12. | TYPE OF REPORTING PERSON*
CO | ||
CUSIP No. 01374T 102
|
SCHEDULE 13G |
Page 4 of 6 |
| Item 1(a). | Name of Issuer: |
| Alcentra Capital Corporation | |
| Item 1(b). | Address of Issuer’s Principal Executive Offices: |
| 200 Park Avenue, 7th Floor | |
| New York, NY 10166 | |
| Item 2(b). | Name of Person Filing: |
| Alcentra Investments Limited | |
| BNY Alcentra Group Holdings, Inc. | |
| The Bank of New York Mellon | |
| Item 2(b). | Address of Principal Business Office: |
| 200 Park Avenue, 7th Floor | |
| New York, NY 10166 | |
| Item 2(c). | Citizenship: |
| Alcentra Investments Limitedis a corporation organized under the laws of Bermuda. | |
| BNY Alcentra Group Holdings, Inc. is a Delaware Corporation | |
| The Bank of New York Mellon Corporation is a Delaware Corporation | |
| Item 2(d). | Title of Class of Securities |
| Common Stock, par value $0.001 per share | |
| Item 2(e). | CUSIP Number: |
| 01374T 102 | |
| Item 3. | If this statement is filed pursuant to rule 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
| Not Applicable |
CUSIP No. 01374T 102
|
SCHEDULE 13G |
Page 5 of 6 |
| Item 4. | Ownership |
| As of December 31, 2014: |
| (a) | Amount beneficially owned: | |
| Alcentra Investments Limited: | 1,450,999 shares | |
| BNY Alcentra Group Holdings, Inc. | 1,511,499 shares | |
| This is composed of 1,450,999 shares in the name of Alcentra Investments Limited and 60,500 shares in the name of BNY Mellon Global Credit Alternatives Fund. | ||
| The Bank of New York Mellon | 1,511,499 shares | |
| This is composed of 1,450,999 shares in the name of Alcentra Investments Limited and 60,500 shares in the name of BNY Mellon Global Credit Alternatives Fund. | ||
| (b) | Percent of class: | |
| Alcentra Investments Limited | 10.73% | |
| BNY Alcentra Group Holdings, Inc. | 11.18% | |
| The Bank of New York Mellon | 11.18% |
| (c) | Number of shares to which the person has: | |||||
| (i) | Sole power to vote or to direct the vote: | |||||
| Alcentra Investments Limited | -0- shares | |||||
| BNY Alcentra Group Holdings, Inc. | ||||||
| The Bank of New York Mellon | -0- shares | |||||
| (ii) | Shared power to vote or to direct the vote: | |||||
| Alcentra Investments Limited | 1,450,999 shares | |||||
| BNY Alcentra Group Holdings, Inc. | 1,511,499 shares | |||||
| The Bank of New York Mellon | 1,511,499 shares | |||||
| (iii) | Sole power to dispose or to direct the disposition of: | |||||
| Alcentra Investments Limited | -0- shares | |||||
| BNY Alcentra Group Holdings, Inc. | -0- shares | |||||
| The Bank of New York Mellon | -0- shares | |||||
| (iv) | Shared power to dispose or to direct the disposition of: | |||||
| Alcentra Investments Limited | 1,450,999 shares | |||||
| BNY Alcentra Group Holdings, Inc. | 1,511,499 shares | |||||
| The Bank of New York Mellon | 1,511,499 shares | |||||
| Item 5. | Ownership of Five Percent or Less of Class |
| Not applicable. |
CUSIP No. 01374T 102
|
SCHEDULE 13G |
Page 6 of 6 |
| Item 6. | Ownership of More Than 5 Percent on Behalf of Another Person |
| Not applicable. | |
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person |
| Not Applicable. | |
| Item 8. | Identification and Classification of Members of the Group |
| Not Applicable. | |
| Item 9. | Notice of Dissolution of Group |
| Not Applicable. | |
| Item 10. | Certification |
| Not Applicable. |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
DATED: January 27, 2015
| ALCENTRA INVESTMENTS LIMITED | ||
| By: | /s/Robert Bennett | |
| Name: Robert Bennett | ||
| Title: Authorized Person | ||
| BNY ALCENTRA GROUP HOLDINGS, INC. | ||
| By: | /s/Robert Bennett | |
| Name: Robert Bennett | ||
| Title: Authorized Person | ||
| THE BANK OF NEW YORK MELLON CORPORATION | ||
| By: | /s/Nicholas R. Darrow | |
| Name: | Nicholas R. Darrow | |
| Title: | Senior Vice President | |
| Attorney-In-Fact for | ||
| The Bank of New York Mellon Corporation | ||
LIST OF EXHIBITS
| Exhibit No. | Description |
| 99.1 | Joint Filing Agreement |
| 99.2 | Power of Attorney for The Bank of New York Mellon Corporation |
