SEC Form 4 · accession 0001389463-18-000006
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
Nov 30, 2018
Accepted (ET)
Dec 4, 2018 · 4:10 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 |
|---|---|---|---|---|---|---|---|---|
| AB Holding UnitsF1,F2,F3 | Nov 30, 2018 | F | 27,286 | $30.21 | D | 1,695,216 | I | by rabbi trust under employee incentive compensation award program |
| AB Holding UnitsF1,F2 | holding | — | — | — | 89,691 | D |
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").
- F2On November 30, 2018, 56,312 AB Holding Units previously owned by Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed. Of these AB Holding Units, 27,286 AB Holding Units were withheld for tax purposes and 29,026 AB Holding Units were delivered to him.
- F3The closing price of an AB Holding Unit for NYSE composite transactions on November 30, 2018.