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ALLIANCEBERNSTEIN HOLDING L.P. — Director's Dealing 2017
Jul 27, 2017
10420_dirs_2017-07-27_3adfcec2-c8da-4f5f-832c-32bb24820e55.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALLIANCEBERNSTEIN HOLDING L.P. (AB)
CIK: 0000825313
Period of Report: 2017-07-25
Reporting Person: Gingrich James A (Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-07-25 | units rep. assignments of beneficial owner. of lp interests | S | 10000 | $24.9125 | Disposed | 255581 | Direct |
| 2017-07-25 | units rep. assignments of beneficial owner. of lp interests | M | 10000 | $17.05 | Acquired | 265581 | Direct |
| 2017-07-25 | units rep. assignments of beneficial owner. of lp interests | S | 10000 | $24.9125 | Disposed | 255581 | Direct |
| 2017-07-26 | units rep. assignments of beneficial owner. of lp interests | S | 10000 | $25 | Disposed | 245581 | Direct |
| 2017-07-26 | units rep. assignments of beneficial owner. of lp interests | M | 10000 | $17.05 | Acquired | 255581 | Direct |
| 2017-07-26 | units rep. assignments of beneficial owner. of lp interests | S | 10000 | $25 | Disposed | 245581 | Direct |
| 2017-07-27 | units rep. assignments of beneficial owner. of lp interests | S | 10000 | $25 | Disposed | 235581 | Direct |
| 2017-07-27 | units rep. assignments of beneficial owner. of lp interests | M | 10000 | $17.05 | Acquired | 245581 | Direct |
| 2017-07-27 | units rep. assignments of beneficial owner. of lp interests | S | 10000 | $25 | Disposed | 235581 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-07-25 | AB Holding Unit option (right to buy) | $17.05 | M | 10000 | Disposed | 2019-01-23 | AB Holding Units (10000.0) | Direct |
| 2017-07-26 | AB Holding Unit option (right to buy) | $17.05 | M | 10000 | Disposed | 2019-01-23 | AB Holding Units (10000.0) | Direct |
| 2017-07-27 | AB Holding Unit option (right to buy) | $17.05 | M | 10000 | Disposed | 2019-01-23 | AB Holding Units (10000.0) | Direct |
Footnotes
F1: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").
F2: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.
F3: Reporting Person sold 3,500 AB Holding Units at $24.75 per Unit and 6,500 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.
F4: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014.