SEC Form 4 · accession 0001389463-16-000007
ALLIANCEBERNSTEIN HOLDING L.P. · AB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Gingrich
Officer — Chief Operating Officer
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 4:15 pm EST
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,F2 | Dec 9, 2016 | A | 140,517 | $23.20 | A | 472,962 | I | by rabbi trust under employee incentive compensation award program |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").
- F2Reporting Person's 2016 deferred incentive compensation award, which was approved by the Compensation Committee of the Board on December 9, 2016, was made in the form of AB Holding Units. Reporting Person therefore may be deemed to have acquired 140,517 AB Holding Units. These AB Holding Units are held in a rabbi trust under AllianceBernstein's incentive compensation award program until they vest and are distributed to the Reporting Person. The award vests, subject to various agreements and covenants set forth in the applicable award agreement, in equal annual increments on each of December 1, 2017, 2018, 2019 and 2020. The price set forth in the table is the closing price of an AB Holding Unit on December 9, 2016.