ABDC - Alcentra Capital Corp - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	5	41	0	1	2	-1	-0	5	1
P	%wins				83	71	59	34	33	38	53
S	%ret	1	1	1	-4	-6	1	0	0	17	2
S	%wins				100	100	0	100	100	0	67

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
12/23/19 16:05	12/23/19	ABDC	Fund	CEF	Closed-End Funds	Shaikh Suhail A.	NY	DO	CEO	P	27	9.16	0	3	8	40	D
12/19/19 16:06	12/18/19	ABDC	Fund	CEF	Closed-End Funds	Grebow Edward	NY	D		P	58	9.14	0	6	15	48	D
12/17/19 16:05	12/16/19	ABDC	Fund	CEF	Closed-End Funds	Grebow Edward	NY	D		P	46	9.14	0	5	14	42	D
12/14/18 08:24	12/12/18	ABDC	Fund	CEF	Closed-End Funds	Glaser Peter M	NY	O	Co-P	P	256	6.93	0	37	New	37	D
12/14/18 08:21	12/12/18	ABDC	Fund	CEF	Closed-End Funds	Shaikh Suhail A.	NY	O	Co-P	P	257	6.96	0	37	New	37	D
5/10/18 16:27	5/10/18	ABDC	Fund	CEF	Closed-End Funds	Grebow Edward	NY	D		P	32	6.47	0	5	16	37	D
3/23/18 18:49	3/23/18	ABDC	Fund	CEF	Closed-End Funds	Greenlaw Douglas J /ma	NY	D		P	7	7.15	0	1	New	1	D
3/20/18 17:42	3/20/18	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	DO	CEO,P	P	19	6.18	0	3	38	11	D
3/20/18 17:07	3/20/18	ABDC	Fund	CEF	Closed-End Funds	McMillan Ellida	NY	O	CFO,COO	P	5	6.13	0	1	41	3	D
3/20/18 17:07	3/20/18	ABDC	Fund	CEF	Closed-End Funds	Krmpotic Branko	NY	O	EVP	P	62	6.15	0	10	250	14	D
11/15/17 21:07	11/15/17	ABDC	Fund	CEF	Closed-End Funds	McMillan Ellida	NY	O	CFO,COO	P	1	7.10	0	0	8	2	D
11/15/17 21:06	11/13/17	ABDC	Fund	CEF	Closed-End Funds	Reiff Steven H	NY	D		P	50	7.23	0	7	59	19	D
11/15/17 21:05	11/15/17	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	DO	CEO,P	P	11	7.10	0	2	23	8	D
11/15/17 21:04	11/13/17	ABDC	Fund	CEF	Closed-End Funds	Brechbuhl T Ulrich	NY	D		P.m	72	7.21	0	10	New	10	D
11/15/17 21:04	11/13/17	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	D		S	-64	7.31	0	-9	-20	35	D
11/14/17 07:08	11/9/17	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	D		S.m	-184	7.37	0	-25	-36	44	D
8/9/17 11:37	8/8/17	ABDC	Fund	CEF	Closed-End Funds	McMillan Ellida	NY	O	CFO	P	3	10.58	0	0	17	2	D
8/8/17 16:42	8/7/17	ABDC	Fund	CEF	Closed-End Funds	Reiff Steven H	NY	D		P	125	10.72	0	12	New	12	M
5/24/17 11:21	5/22/17	ABDC	Fund	CEF	Closed-End Funds	Alcentra Ny, LLC	NY	T		S	-19,975	13.13	0	-1,521	-100	0	D
5/24/17 11:09	5/22/17	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		S	-22,214	13.13	0	-1,692	-100	0	I
12/6/16 14:14	12/2/16	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.d	21	11.49	1	2	3	69	D	14	7	0	-6	-11	-1	-5	-1	1	6	12	12
9/9/16 11:01	9/8/16	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	O	SVP	P	26	12.88	0	2	45	6	D	15	12	27	8	5	4	2	1	0	0	0	-6	7
6/27/16 15:30	6/23/16	ABDC	Fund	CEF	Closed-End Funds	McMillan Ellida	NY	O	Chief Ac	P	6	12.18	0	0	48	1	D	5	0	6	8	4	-1	1	0	0	3	3	11	9
5/25/16 17:06	5/20/16	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.d	14	11.89	0	1	2	67	D	0	-3	8	29	2	3	4	1	1	3	1	7	4
3/28/16 13:01	3/24/16	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.d	9	11.45	0	1	1	66	D		-9	-6	-1	27	11	7	4	1	4	4	10	22	34
3/28/16 13:00	3/24/16	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	O	SVP	P	6	11.27	0	1	13	4	D		-9	-6	-1	27	11	7	4	1	4	4	10	22	34
3/28/16 12:12	3/24/16	ABDC	Fund	CEF	Closed-End Funds	McMillan Ellida	NY	O	Chief Ac	P	9	11.29	0	1	395	1	D		-9	-6	-1	27	11	7	4	1	4	4	10	22	34
3/24/16 11:48	3/22/16	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.d	9	11.29	0	1	1	65	D		-12	-10	-1	22	9	2	2	4	9	10	14	27	37
3/21/16 17:16	3/18/16	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	O	SVP	P	5	10.76	0	1	15	4	D		-13	-10	-3	8	5	6	2	1	6	9	13	24	39
3/21/16 15:46	3/17/16	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.d	9	10.84	0	1	1	64	D		-13	-10	-3	8	5	6	2	1	7	11	15	25	41
3/18/16 13:20	6/23/15	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	O	SVP	P.m	33	12.77	0	3	300	3	M		-14	-11	-1	6	5	6	0	0	6	12	16	26	40
3/17/16 17:18	3/15/16	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.d	9	10.90	0	1	1	64	D		-14	-12	-4	3	9	4	2	0	2	12	15	25	38
11/19/15 14:26	11/17/15	ABDC	Fund	CEF	Closed-End Funds	Hertlein Rudolph L	NY	D		P	12	12.01	0	1	20	6	D		3	-11	-6	-6	-1	-4	-4	2	2	-4	-17	8	11
9/28/15 16:28	9/24/15	ABDC	Fund	CEF	Closed-End Funds	Alcentra Investments Ltd	X0	T		S	-19,021	12.89	1	-1,476	-100	0	D		4	-2	-6	-2	-1	-2	-2	-4	-6	1	0	0	17
8/17/15 14:46	8/14/15	ABDC	Fund	CEF	Closed-End Funds	Hertlein Rudolph L	NY	D		P	18	12.88	1	1	39	5	D		8	1	-5	5	6	7	4	1	-2	-1	-4	-26	7
6/24/15 14:00	6/23/15	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	O	SVP	P	24	13.56	1	2	212	3	I		6	14	0	-1	0	-1	-1	0	-5	-4	-3	-12	-1
5/26/15 13:18	5/22/15	ABDC	Fund	CEF	Closed-End Funds	Scopelliti David	NY	O	SVP	P	10	13.82	1	1	467	1	D		3	16	1	-2	-1	1	-2	1	0	-1	-5	-9	-2
5/21/15 17:37	5/21/15	ABDC	Fund	CEF	Closed-End Funds	McMillan Ellida	NY	O	Chief Ac	P	3	13.85	1	0	New	0	D		3	15	4	-1	1	1	0	0	0	0	-4	-10	-3
5/11/15 18:26	5/6/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P	98	13.67	0	7	0	1,692	I			12	2	4	-1	1	0	0	1	-1	-11	-11	-11
5/8/15 16:40	5/6/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	80	13.69	0	6	0	1,685	I			11	4	2	-1	-1	-1	0	-1	-1	-12	-10	-7
5/6/15 11:55	5/4/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	87	13.78	1	6	0	1,679	I			9	7	1	-1	0	0	0	1	-1	-8	-8	-4
5/4/15 10:59	4/30/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	171	13.86	1	12	1	1,672	I			17	10	2	-2	1	0	0	0	0	-7	-10	-7
4/30/15 16:10	4/28/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	146	13.78	1	11	1	1,660	I			13	8	1	-3	-2	0	1	0	0	-6	-8	-4
4/28/15 11:30	4/24/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	183	13.84	1	13	1	1,625	I			13	9	2	0	-1	0	1	1	1	-9	-6	-7
4/24/15 11:27	4/22/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	164	13.80	1	12	1	1,612	I			18	10	4	2	-1	-1	-1	-1	-1	-5	-4	-5
4/22/15 10:08	4/20/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	128	13.91	1	9	1	1,600	I			19	10	5	4	-2	0	-1	0	0	-6	-8	-6
4/20/15 10:26	4/16/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	167	13.89	1	12	1	1,591	I			21	10	6	5	-1	0	0	-1	1	-5	-10	-6
4/16/15 15:22	4/13/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.a	175	14.13	1	12	1	1,570	I			16	10	4	2	2	-2	0	-1	-1	-7	-7	-5
4/16/15 14:21	4/14/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	123	13.86	1	9	1	1,579	I			16	10	4	2	2	-2	0	-1	-1	-7	-7	-5
4/14/15 12:20	4/10/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	285	14.15	1	20	1	1,570	I			16	11	4	2	4	0	-1	-1	-2	-6	-7	-6
4/10/15 10:56	4/8/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	291	14.09	1	21	1	1,550	I			15	11	4	5	4	4	0	-2	-2	-7	-10	-8
4/8/15 11:13	4/6/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	216	13.58	1	16	1	1,529	I			11	10	1	2	2	2	2	1	-1	-8	-10	-4
4/6/15 09:16	4/2/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P	54	13.55	1	4	0	1,513	I			7	11	2	1	-1	0	0	4	2	-5	-10	-3
4/2/15 09:50	3/31/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	183	13.63	1	13	1	1,509	I			7	8	1	2	-2	2	0	4	2	-6	-10	-5
3/31/15 10:20	3/27/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	156	13.35	1	12	1	1,496	I			8	10	3	3	1	0	-2	1	1	0	-6	-6
3/27/15 10:31	3/25/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	227	13.84	1	16	1	1,484	I			6	9	3	3	0	-3	-2	1	2	1	-2	-7
3/25/15 17:27	3/23/15	ABDC	Financ	StBnk	State Commercial Banks	Bank of New York Mellon Corp	NY	T		P.m	232	14.13	0	16	1	1,467	I			8	14	4	2	2	1	-1	-2	2	1	-3	-12
3/24/15 13:42	3/23/15	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P	14	14.13	0	1	2	61	D			9	23	3	3	5	2	-2	-2	-1	-1	-5	-13
8/29/14 10:12	8/28/14	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P	14	13.58	1	1	2	60	D				-7	-3	7	0	1	1	2	-2	-1	9	5
5/30/14 15:07	5/29/14	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.m	15	14.89	1	1	2	59	D							-1	-1	0	-1	3	-7	-8	2
5/22/14 15:28	5/21/14	ABDC	Fund	CEF	Closed-End Funds	Echausse Paul J	NY	DO	P,CEO	P.m	4	14.98	1	0	1	58	D							-1	-1	0	0	-4	-9	-11	3
5/12/14 14:34	5/9/14	ABDC	Fund	CEF	Closed-End Funds	Hertlein Rudolph L	NY	D		P	54	15.00	3	4	New	4	D									0	0	-2	-14	-9	2

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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