SEC Form 4 · accession 0001180506-17-000006
ALLIANCEBERNSTEIN HOLDING L.P. · AB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven G Elliott
Other
Period of report
May 19, 2017
Accepted (ET)
May 23, 2017 · 5:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000825313
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| units rep. assignments of beneficial owner. of lp interestsF1 | May 19, 2017 | M | 16,349 | $14.58 | A | 31,976 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1,F2 | May 19, 2017 | S | 16,349 | $21.075 | D | 15,627 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| AB Holding Unit option (right to buy)F3 | $14.58 | May 19, 2017 | M | 16,349 | D | May 15, 2013 | May 15, 2022 | AB Holding Units | 16,349 | 0 | D |
Explanation of responses
- F1Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").
- F2Reporting Person sold 16,349 AB Holding Units at prices ranging from $21.05 to $21.075 per Unit. The price set forth in the table is the weighted average of his sales at these prices.
- F3The option vested in equal annual increments on each of May 12, 2013, 2014 and 2015.