Alcentra European Fltng Rate Inc Fd Holding(s) in Company (2777X)

TIDMAEFS

RNS Number : 2777X

Alcentra European Fltng Rate Inc Fd

22 November 2017

TR-1: Standard form for notification of major holdings

 
 NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant 
  issuer and to the FCA in Microsoft Word format if possible)(i) 
---------------------------------------------------------------------------------------------------- 
 
 1a. Identity of the issuer                                    Alcentra European Floating 
  or the underlying issuer                                      Rate Income Fund Limited 
  of existing shares to which                                BNP Paribas House, St Julians's 
  voting rights are attached(ii)                                Avenue, Saint Peter Port 
  :                                                                GY1 1WA, Guernsey. 
                                                               LEI - 549300BZ4K4RM8RKES49 
-------------------------------------------------  ------------------------------------------------- 
 1b. Please indicate if the issuer is a non-UK issuer 
  (please mark with an "X" if appropriate) 
---------------------------------------------------------------------------------------------------- 
 Non-UK issuer                                                                               X 
-------------------------------------------------------------------------------------  ------------- 
 2. Reason for the notification (please mark the appropriate 
  box or boxes with an "X") 
---------------------------------------------------------------------------------------------------- 
 An acquisition or disposal of voting rights                                                 X 
-------------------------------------------------------------------------------------  ------------- 
 An acquisition or disposal of financial instruments 
-------------------------------------------------------------------------------------  ------------- 
 An event changing the breakdown of voting rights 
-------------------------------------------------------------------------------------  ------------- 
 Other (please specify)(iii) : 
-------------------------------------------------------------------------------------  ------------- 
 3. Details of person subject to the notification obligation(iv) 
 Name                                               The Bank of New York Mellon 
                                                     Corporation 
 City and country of registered                     New York, USA 
  office (if applicable) 
 4. Full name of shareholder(s) (if different from 3.)(v) 
---------------------------------------------------------------------------------------------------- 
 Name                                               BNY Mellon Investment Management 
                                                     Seed Capital Limited 
-------------------------------------------------  ------------------------------------------------- 
 City and country of registered                     London, United Kingdom 
  office (if applicable) 
-------------------------------------------------  ------------------------------------------------- 
 5. Date on which the threshold                     21 November 2017 
  was crossed or reached(vi) 
  : 
-------------------------------------------------  ------------------------------------------------- 
 6. Date on which issuer notified                   22 November 2017 
  (DD/MM/YYYY): 
-------------------------------------------------  ------------------------------------------------- 
 7. Total positions of person(s) subject to the notification 
  obligation 
---------------------------------------------------------------------------------------------------- 
                               % of voting            % of voting        Total of       Total number 
                              rights attached       rights through       both in %       of voting 
                                 to shares             financial        (8.A + 8.B)      rights of 
                                 (total of            instruments                        issuer(vii) 
                                   8. A)               (total of 
                                                      8.B 1 + 8.B 
                                                          2) 
----------------------  -------------------------  ----------------  ----------------  ------------- 
 Resulting 
  situation 
  on the date 
  on which 
  threshold 
  was crossed 
  or reached             0.00%                      0.00%             0.00%             197,690,442 
----------------------  -------------------------  ----------------  ----------------  ------------- 
 Position 
  of previous 
  notification 
  (if 
  applicable)            9.69%                      0.00%             9.69% 
----------------------  -------------------------  ----------------  ----------------  ------------- 
 
 
 
 8. Notified details of the resulting situation on the 
  date on which the threshold was crossed or reached(viii) 
-------------------------------------------------------------------------------------------------------------- 
 A: Voting rights attached to shares 
-------------------------------------------------------------------------------------------------------------- 
 Class/type              Number of voting rights(ix)            % of voting rights 
  of 
  shares 
  ISIN code 
  (if possible) 
---------------------- 
                                Direct            Indirect                 Direct                  Indirect 
                               (Art 9 of          (Art 10 of              (Art 9 of               (Art 10 of 
                               Directive          Directive               Directive                Directive 
                             2004/109/EC)        2004/109/EC)            2004/109/EC)            2004/109/EC) 
                               (DTR5.1)           (DTR5.2.1)               (DTR5.1)               (DTR5.2.1) 
---------------------   ---------------------  --------------  ------------------------------  --------------- 
 GG00B6116N85 
  Closed End 
  Fund                   0                      N/A             0.00%                           N/A 
----------------------  ---------------------  --------------  ------------------------------  --------------- 
 
 
 SUBTOTAL 
  8. A                                    0                                         0.00% 
----------------------  -------------------------------------  ----------------------------------------------- 
 
 B 1: Financial Instruments according to Art. 13(1)(a) 
  of Directive 2004/109/EC (DTR5.3.1.1 (a)) 
-------------------------------------------------------------------------------------------------------------- 
 Type of financial       Expiration             Exercise/       Number of voting                % of voting 
  instrument              date(x)                Conversion      rights that                     rights 
                                                 Period(xi)      may be acquired 
                                                                 if the instrument 
                                                                 is 
                                                                 exercised/converted. 
----------------------  ---------------------  --------------  ------------------------------  --------------- 
 N/A                     N/A                    N/A             N/A                             N/A 
----------------------  ---------------------  --------------  ------------------------------  --------------- 
 
 
                                                SUBTOTAL 8.     N/A                             N/A 
                                                 B 1 
                                               --------------  ------------------------------  --------------- 
 
 B 2: Financial Instruments with similar economic effect 
  according to Art. 13(1)(b) of Directive 2004/109/EC 
  (DTR5.3.1.1 (b)) 
-------------------------------------------------------------------------------------------------------------- 
 Type of                Expiration              Exercise/       Physical           Number       % of voting 
  financial              date(x)                Conversion      or cash             of voting    rights 
  instrument                                    Period          settlement(xii)     rights 
                                                (xi) 
---------------------  ----------------------  --------------  -----------------  -----------  --------------- 
 N/A                    N/A                     N/A             N/A                N/A          N/A 
---------------------  ----------------------  --------------  -----------------  -----------  --------------- 
 
 
                                                                SUBTOTAL           N/A          N/A 
                                                                 8.B.2 
                                                               -----------------  -----------  --------------- 
 
 
 
 
 9. Information in relation to the person subject to 
  the notification obligation (please mark the 
  applicable box with an "X") 
 Person subject to the notification obligation is 
  not controlled by any natural person or legal entity 
  and does not control any other undertaking(s) holding 
  directly or indirectly an interest in the (underlying) 
  issuer(xiii) 
 Full chain of controlled undertakings through which                           X 
  the voting rights and/or the 
  financial instruments are effectively held starting 
  with the ultimate controlling natural person or 
  legal entity(xiv) (please add additional rows as 
  necessary) 
-------------------------------------------------------------------  --------------------- 
       Name(xv)            % of voting          % of voting             Total of both 
                           rights if it        rights through            if it equals 

                           equals or is     financial instruments        or is higher 
                           higher than          if it equals          than the notifiable 
                          the notifiable        or is higher               threshold 
                            threshold        than the notifiable 
                                                  threshold 
----------------------  ----------------  -----------------------  ----------------------- 
 The Bank of             N/A               N/A                      N/A 
  New York Mellon 
  Corporation 
----------------------  ----------------  -----------------------  ----------------------- 
 BNY Mellon IHC,         N/A               N/A                      N/A 
  LLC 
----------------------  ----------------  -----------------------  ----------------------- 
 MBC Investments         N/A               N/A                      N/A 
  Corporation 
----------------------  ----------------  -----------------------  ----------------------- 
 BNY Mellon Investment   N/A               N/A                      N/A 
  Management Holdings 
  LLC 
----------------------  ----------------  -----------------------  ----------------------- 
 BNY Mellon Investment   N/A               N/A                      N/A 
  Management Seed 
  Capital Limited 
----------------------  ----------------  -----------------------  ----------------------- 
 
 10. In case of proxy voting, please identify: 
------------------------------------------------------------------------------------------ 
 Name of the proxy holder                  N/A 
----------------------------------------  ------------------------------------------------ 
 The number and % of voting                N/A 
  rights held 
----------------------------------------  ------------------------------------------------ 
 The date until which the                  N/A 
  voting rights will be held 
----------------------------------------  ------------------------------------------------ 
 
 11. Additional information(xvi) 
------------------------------------------------------------------------------------------ 
 N/A 
------------------------------------------------------------------------------------------ 
 
 
 
 Place of completion   Uniondale, New York 
--------------------  -------------------- 
 Date of completion    22 November 2017 
--------------------  -------------------- 
 

This information is provided by RNS

The company news service from the London Stock Exchange

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November 22, 2017 11:45 ET (16:45 GMT)