SEC Form 4 · accession 0001389463-17-000035
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
Jul 28, 2017
Accepted (ET)
Aug 1, 2017 · 5:02 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 | Jul 28, 2017 | S | 3,500 | $24.15 | D | 232,081 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Jul 28, 2017 | M | 3,500 | $17.05 | A | 235,581 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Jul 28, 2017 | S | 3,500 | $24.15 | D | 232,081 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Jul 31, 2017 | S | 3,500 | $24.25 | D | 228,581 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Jul 31, 2017 | M | 3,500 | $17.05 | A | 232,081 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Jul 31, 2017 | S | 3,500 | $24.25 | D | 228,581 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1,F3 | Aug 1, 2017 | S | 4,922 | $24.8222 | D | 223,659 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 1, 2017 | M | 8,499 | $17.05 | A | 232,158 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1,F4 | Aug 1, 2017 | S | 8,499 | $24.897 | D | 223,659 | 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)F5 | $17.05 | Jul 28, 2017 | M | 3,500 | D | Jan 23, 2010 | Jan 23, 2019 | AB Holding Units | 3,500 | 105,783 | D |
| AB Holding Unit option (right to buy)F5 | $17.05 | Jul 31, 2017 | M | 3,500 | D | Jan 23, 2010 | Jan 23, 2019 | AB Holding Units | 3,500 | 102,283 | D |
| AB Holding Unit option (right to buy)F5 | $17.05 | Aug 1, 2017 | M | 8,499 | D | Jan 23, 2010 | Jan 23, 2019 | AB Holding Units | 8,499 | 93,784 | 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 AB Holding Units pursuant to a Rule 10b5-1 Plan.
- F3Reporting Person sold 3,500 AB Holding Units at $24.75 per Unit and 1,422 AB Holding Units at $25.00 per Unit. The price set forth in the table is the weighted average of his sales at these prices.
- F4Reporting Person sold 3,500 AB Holding Units at $24.75 per Unit and 4,999 AB Holding Units at $25.00 per Unit. The price set forth in the table is the weighted average of his sales at these prices.
- F5The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014.