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ALLIANCEBERNSTEIN HOLDING L.P. — Director's Dealing 2017
Jun 9, 2017
10420_dirs_2017-06-09_c61cd009-3006-4d56-86e6-28f3e69bc409.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: 2017-06-07
Reporting Person: Gingrich James A (Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-06-07 | units rep. assignments of beneficial owner. of lp interests | S | 3500 | $22.875 | Disposed | 377581 | Direct |
| 2017-06-07 | units rep. assignments of beneficial owner. of lp interests | M | 3500 | $17.05 | Acquired | 381081 | Direct |
| 2017-06-07 | units rep. assignments of beneficial owner. of lp interests | S | 3500 | $22.875 | Disposed | 377581 | Direct |
| 2017-06-08 | units rep. assignments of beneficial owner. of lp interests | S | 3500 | $22.925 | Disposed | 374081 | Direct |
| 2017-06-08 | units rep. assignments of beneficial owner. of lp interests | M | 3500 | $17.05 | Acquired | 377581 | Direct |
| 2017-06-08 | units rep. assignments of beneficial owner. of lp interests | S | 3500 | $22.925 | Disposed | 374081 | Direct |
| 2017-06-09 | units rep. assignments of beneficial owner. of lp interests | S | 3500 | $23 | Disposed | 370581 | Direct |
| 2017-06-09 | units rep. assignments of beneficial owner. of lp interests | M | 3500 | $17.05 | Acquired | 374081 | Direct |
| 2017-06-09 | units rep. assignments of beneficial owner. of lp interests | S | 3500 | $23 | Disposed | 370581 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-06-07 | AB Holding Unit option (right to buy) | $17.05 | M | 3500 | Disposed | 2019-01-23 | AB Holding Units (3500.0) | Direct |
| 2017-06-08 | AB Holding Unit option (right to buy) | $17.05 | M | 3500 | Disposed | 2019-01-23 | AB Holding Units (3500.0) | Direct |
| 2017-06-09 | AB Holding Unit option (right to buy) | $17.05 | M | 3500 | Disposed | 2019-01-23 | AB Holding Units (3500.0) | 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 in accordance with a Rule 10b5-1 Plan.
F3: Reporting Person sold 1,750 AB Holding Units at $22.75 per Unit and 1,750 AB Holding Units at $23.00 per Unit. The price set forth in the table is the weighted average of his sales at these prices.
F4: Reporting Person sold 1,750 AB Holding Units at $22.85 per Unit and 1,750 AB Holding Units at $23.00 per Unit. The price set forth in the table is the weighted average of his sales at these prices.
F5: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014.