SEC Form 4 · accession 0001389463-19-000002
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
Jan 31, 2019
Accepted (ET)
Feb 21, 2019 · 4:04 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 | Jan 31, 2019 | F | 30,277 | $30.49 | D | 1,619,721 | I | by rabbi trust under employee incentive compensation award program |
| AB Holding UnitsF1,F4 | Feb 19, 2019 | S | 15,000 | $30.11 | D | 119,909 | D | |
| AB Holding UnitsF1,F5 | Feb 20, 2019 | S | 25,000 | $30.15 | D | 94,909 | D | |
| AB Holding UnitsF1,F2 | holding | — | — | — | 134,909 | 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 January 31, 2019, 75,495 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, 30,277 AB Holding Units were withheld for tax purposes and 45,218 AB Holding Units were delivered to him.
- F3The closing price of an AB Holding Unit for NYSE composite transactions on January 31, 20198.
- F4Reporting Person sold 15,000 AB Holding Units at prices ranging from $29.75 to $30.36 per Unit. The price set forth in the table is the weighted average of his sales at these prices.
- F5Reporting Person sold 25,000 AB Holding Units at prices ranging from $30.08 to $30.28 per Unit. The price set forth in the table is the weighted average of his sales at these prices.