SEC Form 4 · accession 0001389463-17-000049
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
Aug 28, 2017
Accepted (ET)
Aug 30, 2017 · 5:39 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 | Aug 28, 2017 | S | 3,500 | $23.35 | D | 157,159 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 28, 2017 | M | 3,500 | $17.05 | A | 160,659 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 28, 2017 | S | 3,500 | $23.35 | D | 157,159 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 29, 2017 | S | 3,500 | $23.00 | D | 153,659 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 29, 2017 | M | 3,500 | $17.05 | A | 157,159 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 29, 2017 | S | 3,500 | $23.00 | D | 153,659 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 30, 2017 | S | 3,500 | $23.10 | D | 150,159 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 30, 2017 | M | 3,500 | $17.05 | A | 153,659 | D | |
| units rep. assignments of beneficial owner. of lp interestsF1 | Aug 30, 2017 | S | 3,500 | $23.10 | D | 150,159 | 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 | $17.05 | Aug 28, 2017 | M | 3,500 | D | Jan 23, 2010 | Jan 23, 2019 | AB Holding Units | 3,500 | 27,284 | D |
| AB Holding Unit option (right to buy)F3 | $17.05 | Aug 29, 2017 | M | 3,500 | D | Jan 23, 2010 | Jan 23, 2019 | AB Holding Units | 3,500 | 23,784 | D |
| AB Holding Unit option (right to buy)F3 | $17.05 | Aug 30, 2017 | M | 3,500 | D | Jan 23, 2010 | Jan 23, 2019 | AB Holding Units | 3,500 | 20,284 | 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.
- F3The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014.