AB

SEC source: 0001696042-18-000003 · wf-form4_152642300409007.xml · nonDerivative · entry 1

Zoellick Robert B. · CIK 0001696042 · Director · Non-Exec. Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,100

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: Reporting Person's award of 15,800 restricted AB Holding Units will vest and be delivered ratably on each of May 15, 2019, 2020, 2021 and 2022. The form of award agreement memorializing the award was approved during a regular meeting of the Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, held on May 15, 2018; the Reporting Person did not participate in approving this award.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 15, 2018, the grant date.

SEC source: 0001722626-18-000002 · wf-form4_152642238987724.xml · nonDerivative · entry 1

Leibowitz Shelley · CIK 0001722626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,145

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 6,320 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 15, 2018; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal 25% increments on each of May 15, 2019, 2020, 2021 and 2022.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 15, 2018, the grant date.

SEC source: 0001214685-18-000002 · wf-form4_152642064062399.xml · nonDerivative · entry 1

OLIVEIRA RAMON DE · CIK 0001214685 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,379

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 6,320 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 15, 2018; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal 25% increments on each of May 15, 2019, 2020, 2021 and 2022.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 15, 2018, the grant date.

SEC source: 0001210401-18-000002 · wf-form4_152642034581182.xml · nonDerivative · entry 1

AUDET PAUL · CIK 0001210401 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,345

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 6,320 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 15, 2018; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal 25% increments on each of May 15, 2019, 2020, 2021 and 2022.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 15, 2018, the grant date.

SEC source: 0001556974-18-000002 · wf-form4_152641982708023.xml · nonDerivative · entry 1

Kaye Daniel G · CIK 0001556974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,379

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 6,320 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 15, 2018; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal 25% increments on each of May 15, 2019, 2020, 2021 and 2022.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 15, 2018, the grant date.

SEC source: 0001722643-18-000002 · wf-form4_152642005223479.xml · nonDerivative · entry 1

Narayandas Das · CIK 0001722643 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,345

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 6,320 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 15, 2018; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal 25% increments on each of May 15, 2019, 2020, 2021 and 2022.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 15, 2018, the grant date.

SEC source: 0001703984-18-000002 · wf-form4_152641958729446.xml · nonDerivative · entry 1

Fallon-Walsh Barbara · CIK 0001703984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,379

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 6,320 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 15, 2018; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal 25% increments on each of May 15, 2019, 2020, 2021 and 2022.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 15, 2018, the grant date.

SEC source: 0001389463-18-000004 · wf-form4_152512498866740.xml · nonDerivative · entry 1

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 1,751,528

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · shares: The award, which was approved by the Compensation Committee of the Board on April 24, 2018, vests ratably on each of December 1, 2019, 2020, 2021 and 2022. The AB Holding Units underlying the award will be delivered to the Reporting Person, net of applicable withholding, promptly after December 1, 2022, subject to the terms and conditions set forth in the award agreement.

SEC source: 0001550507-18-000002 · wf-form4_152512507633102.xml · nonDerivative · entry 1

Weisenseel John C · CIK 0001550507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 243,909

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · shares: The award, which was approved by the Compensation Committee of the Board on April 24, 2018, vests on December 1, 2022. The AB Holding Units underlying the award will be delivered to the Reporting Person, net of applicable withholding, promptly after December 1, 2022, subject to the terms and conditions set forth in the award agreement.

SEC source: 0001296655-18-000008 · wf-form4_152512482383960.xml · nonDerivative · entry 1

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 237,965

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · shares: The award, which was approved by the Compensation Committee of the Board on April 24, 2018, vests on December 1, 2022. The AB Holding Units underlying the award will be delivered to the Reporting Person, net of applicable withholding, promptly after December 1, 2022, subject to the terms and conditions set forth in the award agreement.

SEC source: 0001698316-18-000002 · wf-form4_152512474218713.xml · nonDerivative · entry 1

Burke Kate C · CIK 0001698316 · Head of Human Capital and CTO

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation plan

Disclosed balance after: 184,656

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: The award, which was approved by the Compensation Committee of the Board on April 24, 2018, vests on December 1, 2022. The AB Holding Units underlying the award will be delivered to the Reporting Person, net of applicable withholding, promptly after December 1, 2022, subject to the terms and conditions set forth in the award agreement.

SEC source: 0001296655-18-000006 · wf-form4_152037275941037.xml · derivative · entry 3

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: AB Holding Units · 37,500 shares

Expires 2019-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014.

SEC source: 0001296655-18-000006 · wf-form4_152037275941037.xml · nonDerivative · entry 2

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,207

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · price: Reporting Person sold 37,500 AB Holding Units at prices ranging from $26.25 to $26.50 per Unit. The price set forth in the table is the weighted average of his sales at these prices.

SEC source: 0001296655-18-000006 · wf-form4_152037275941037.xml · nonDerivative · entry 1

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,707

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

SEC source: 0001296655-18-000004 · wf-form4_152004106783848.xml · derivative · entry 6

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: AB Holding Units · 19,786 shares

Expires 2019-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014.

SEC source: 0001296655-18-000004 · wf-form4_152004106783848.xml · nonDerivative · entry 4

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,207

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F3 · price: Reporting Person sold 19,786 AB Holding Units at prices ranging from $26.25 to $26.35 per Unit. The price set forth in the table is the weighted average of his sales at these prices.

SEC source: 0001296655-18-000004 · wf-form4_152004106783848.xml · nonDerivative · entry 3

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,993

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

SEC source: 0001296655-18-000004 · wf-form4_152004106783848.xml · derivative · entry 5

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,286

Underlying: AB Holding Units · 21,062 shares

Expires 2019-01-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014.

SEC source: 0001296655-18-000004 · wf-form4_152004106783848.xml · nonDerivative · entry 2

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,207

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · price: Reporting Person sold 21,062 AB Holding Units at prices ranging from $26.25 to $26.30 per Unit. The price set forth in the table is the weighted average of his sales at these prices.

SEC source: 0001296655-18-000004 · wf-form4_152004106783848.xml · nonDerivative · entry 1

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,269

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

SEC source: 0001296655-18-000002 · wf-form4_151760545760497.xml · nonDerivative · entry 1

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 86,162

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · balance_after: On January 31, 2018, 29,303 AB Holding Units previously owned by the Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed. Of these AB Holding Units, 10,511 AB Holding Units were withheld for tax purposes and 18,792 AB Holding Units were delivered to him.

SEC source: 0001389463-18-000002 · wf-form4_151760532968007.xml · nonDerivative · entry 1

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 1,220,218

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · balance_after: On January 31, 2018, 18,930 AB Holding Units previously owned by the Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed. Of these AB Holding Units, 5,986 AB Holding Units were withheld for tax purposes and 12,944 AB Holding Units were delivered to him.

SEC source: 0001209191-17-065907 · doc4.xml · nonDerivative · entry 1

AXA Equitable Holdings, Inc. · CIK 0001333986 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,312,163

F1 · security: Units Representing Assignments of Beneficial Ownership of Limited Partnership Interests ("Holding Units") in AllianceBernstein Holding L.P. ("Holding").

F2 · kind: On April 30, 2017, AXA Equitable Holdings Inc. ("Equitable Holdings"), entered into a unit purchase agreement (the "Unit Purchase Agreement") with Peter S. Kraus covering all of the Holding Units beneficially owned by Mr. Kraus. Pursuant to the Unit Purchase Agreement, Equitable Holdings and Mr. Kraus agreed to call and put options, respectively, covering certain restricted Holding Units delivered in accordance with the terms of Mr. Kraus's employment agreement or with respect to which he had deferred delivery, at specified future market prices if the Holding Units are trading at or between $22.90 and $32.90 per Holding Unit. On December 12, 2017, Equitable Holdings exercised its call option for all units owned by Mr. Kraus as of the close of business on such date.

F3 · ownership.direct: AXA indirectly owns (i) all of the common stock of Equitable Holdings, a holding company for a group of insurance and related financial services companies, AXA Financial, Inc. ("AXF") and its subsidiaries and AXA America Corporate Solutions, Inc. and its wholly owned subsidiary, Coliseum Reinsurance Company ("Coliseum Reinsurance") and (ii) 96.23% of the outstanding shares of common stock of AXA-IM Holding U.S. Inc. (AXA-IM Holding"), a holding company for a group of asset management companies. AXF is the sole member of AXA Equitable Financial Services, LLC ("AXFS") which wholly owns (i) AXA Equitable Life Insurance Company ("AXA Equitable") which in turn owns ACMC, LLC ("ACMC") and (ii) MONY Life Insurance Company of America ("MLOA").

F4 · ownership.direct: As of December 31, 2016, AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle (collectively, "Mutuelles AXA"), directly beneficially owned approximately 14.13% of the issued ordinary shares (representing approximately 23.93% of the voting power) of AXA. The Mutuelles AXA and AXA expressly declare that the filing of this Form 4 shall not be construed as an admission that either of them is, for purposes of Section 16 of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this Form 4.

F5 · ownership.direct: Equitable Holdings beneficially owns directly 2,312,163 Holding Units and beneficially owns indirectly 1,444,356 Holding Units beneficially owned directly by ACMC.

F6 · ownership.direct: In addition to the Holding Units reported in this Form 4, the Reporting Person and its affiliates beneficially own units of limited partnership interests ("AB Capital Units") in AllianceBernstein L.P. ("AllianceBernstein") as follows. As of December 15, 2017, AXF beneficially owned directly 43,032,758 AB Capital Units; ACMC beneficially owned directly 74,406,933 AB Capital Units; AXA-IM Holding, 41,934,582 AB Capital Units; Coliseum Reinsurance, 8,160,000 AB Capital Units; MLOA, 2,587,472 AB Capital Units; and AllianceBernstein Corporation, a wholly-owned subsidiary of AXA Equitable, owned a 1% general partnership interest in AllianceBernstein and 100,000 units of general partnership interest in Holding. For more information on the Reporting Person and its affiliates' holdings of AB Capital Units, see their separate Form 4 filings with respect to AB Capital Units.

SEC source: 0001209191-18-006810 · doc4a.xml · nonDerivative · entry 1

AXA Equitable Holdings, Inc. · CIK 0001333986 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,312,163

F1 · security: Units Representing Assignments of Beneficial Ownership of Limited Partnership Interests ("Holding Units") in AllianceBernstein Holding L.P. ("Holding").

F2 · kind: On April 30, 2017, AXA Equitable Holdings Inc. ("Equitable Holdings"), entered into a unit purchase agreement (the "Unit Purchase Agreement") with Peter S. Kraus covering all of the Holding Units beneficially owned by Mr. Kraus. Pursuant to the Unit Purchase Agreement, Equitable Holdings and Mr. Kraus agreed to call and put options, respectively, covering certain restricted Holding Units delivered in accordance with the terms of Mr. Kraus's employment agreement or with respect to which he had deferred delivery, at specified future market prices if the Holding Units are trading at or between $22.90 and $32.90 per Holding Unit. On December 12, 2017, Equitable Holdings exercised its call option for all units owned by Mr. Kraus as of the close of business on such date.

F3 · ownership.direct: AXA indirectly owns (i) all of the common stock of Equitable Holdings, a holding company for a group of insurance and related financial services companies, AXA Financial, Inc. ("AXF") and its subsidiaries and AXA America Corporate Solutions, Inc. and its wholly owned subsidiary, Coliseum Reinsurance Company ("Coliseum Reinsurance") and (ii) 96.23% of the outstanding shares of common stock of AXA-IM Holding U.S. Inc. (AXA-IM Holding"), a holding company for a group of asset management companies. AXF is the sole member of AXA Equitable Financial Services, LLC ("AXFS") which wholly owns (i) AXA Equitable Life Insurance Company ("AXA Equitable") which in turn owns ACMC, LLC ("ACMC") and (ii) MONY Life Insurance Company of America ("MLOA").

F4 · ownership.direct: As of December 31, 2016, AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle (collectively, "Mutuelles AXA"), directly beneficially owned approximately 14.13% of the issued ordinary shares (representing approximately 23.93% of the voting power) of AXA. The Mutuelles AXA and AXA expressly declare that the filing of this Form 4 shall not be construed as an admission that either of them is, for purposes of Section 16 of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this Form 4.

F5 · ownership.direct: Equitable Holdings beneficially owns directly 2,312,163 Holding Units and beneficially owns indirectly 1,444,356 Holding Units beneficially owned directly by ACMC.

F6 · ownership.direct: In addition to the Holding Units reported in this Form 4, the Reporting Person and its affiliates beneficially own units of limited partnership interests ("AB Capital Units") in AllianceBernstein L.P. ("AllianceBernstein") as follows. As of December 15, 2017, AXF beneficially owned directly 43,032,758 AB Capital Units; ACMC beneficially owned directly 74,406,933 AB Capital Units; AXA-IM Holding, 41,934,582 AB Capital Units; Coliseum Reinsurance, 8,160,000 AB Capital Units; MLOA, 2,587,472 AB Capital Units; and AllianceBernstein Corporation, a wholly-owned subsidiary of AXA Equitable, owned a 1% general partnership interest in AllianceBernstein and 100,000 units of general partnership interest in Holding. For more information on the Reporting Person and its affiliates' holdings of AB Capital Units, see their separate Form 4 filings with respect to AB Capital Units.

SEC source: 0001270609-17-000008 · wf-form4_151328554327347.xml · nonDerivative · entry 1

FARRELL EDWARD J · CIK 0001270609 · SVP and Controller

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 22,499

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · shares: Reporting Person's 2017 long-term incentive compensation award, which was approved by the Compensation Committee of the Board on December 12, 2017, was made in the form of AB Holding Units. Reporting Person therefore may be deemed to have acquired 8,818 AB Holding Units. These AB Holding Units are held in a rabbi trust under AllianceBernstein's incentive compensation award program until they vest and are delivered to the Reporting Person. The award vests, subject to various agreements and covenants set forth in the applicable award agreement, in equal annual increments on each of December 1, 2018, 2019, 2020 and 2021. The price set forth in the table is the closing price of an AB Holding Unit on December 12, 2017.

SEC source: 0001550507-17-000018 · wf-form4_151328566132476.xml · nonDerivative · entry 1

Weisenseel John C · CIK 0001550507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 92,106

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · shares: Reporting Person's 2017 long-term incentive compensation award, which was approved by the Compensation Committee of the Board on December 12, 2017, was made in the form of AB Holding Units. Reporting Person therefore may be deemed to have acquired 31,463 AB Holding Units. These AB Holding Units are held in a rabbi trust under AllianceBernstein's incentive compensation award program until they vest and are delivered to the Reporting Person. The award vests, subject to various agreements and covenants set forth in the applicable award agreement, in equal annual increments on each of December 1, 2018, 2019, 2020 and 2021. The price set forth in the table is the closing price of an AB Holding Unit on December 12, 2017.

SEC source: 0001296655-17-000006 · wf-form4_151328544517565.xml · nonDerivative · entry 1

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 115,465

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · shares: Reporting Person's 2017 long-term incentive compensation award, which was approved by the Compensation Committee of the Board on December 12, 2017, was made in the form of AB Holding Units. Reporting Person therefore may be deemed to have acquired 26,453 AB Holding Units. These AB Holding Units are held in a rabbi trust under AllianceBernstein's incentive compensation award program until they vest and are delivered to the Reporting Person. The award vests, subject to various agreements and covenants set forth in the applicable award agreement, in equal annual increments on each of December 1, 2018, 2019, 2020 and 2021. The price set forth in the table is the closing price of an AB Holding Unit on December 12, 2017.

SEC source: 0001698316-17-000018 · wf-form4_151328521708241.xml · nonDerivative · entry 1

Burke Kate C · CIK 0001698316 · Head of Human Capital and CTO

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation plan

Disclosed balance after: 32,853

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · shares: Reporting Person's 2017 long-term incentive compensation award, which was approved by the Compensation Committee of the Board on December 12, 2017, was made in the form of AB Holding Units. Reporting Person therefore may be deemed to have acquired 16,433 AB Holding Units. These AB Holding Units are held in a rabbi trust under AllianceBernstein's incentive compensation award program until they vest and are delivered to the Reporting Person. The award vests, subject to various agreements and covenants set forth in the applicable award agreement, in equal annual increments on each of December 1, 2018, 2019, 2020 and 2021. The price set forth in the table is the closing price of an AB Holding Unit on December 12, 2017.

SEC source: 0001550507-17-000016 · wf-form4_151273773674683.xml · nonDerivative · entry 1

Weisenseel John C · CIK 0001550507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 60,643

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · balance_after: On December 1, 2017, 10,233 AB Holding Units previously owned by Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed to him. Of these AB Holding Units, 3,784 AB Holding Units were withheld for tax purposes and 6,449 AB Holding Units were delivered to him.

SEC source: 0001389463-17-000075 · wf-form4_151273737895639.xml · nonDerivative · entry 1

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 1,239,148

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · balance_after: On December 1, 2017, 98,537 AB Holding Units previously owned by Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed to him. Of these AB Holding Units, 50,816 AB Holding Units were withheld for tax purposes and 47,721 AB Holding Units were delivered to him.

SEC source: 0001538162-17-000004 · wf-form4_151273752757847.xml · nonDerivative · entry 1

van Brugge Robert P · CIK 0001538162 · Chairman and CEO, SCB LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 107,396

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · balance_after: On December 1, 2017, 68,408 AB Holding Units previously owned by Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed to him. Of these AB Holding Units, 34,511 AB Holding Units were withheld for tax purposes and 33,897 AB Holding Units were delivered to him.

SEC source: 0001270609-17-000006 · wf-form4_151273726196336.xml · nonDerivative · entry 1

FARRELL EDWARD J · CIK 0001270609 · SVP and Controller

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 13,681

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · balance_after: On December 1, 2017, 9,412 AB Holding Units previously owned by Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed to him. Of these AB Holding Units, 3,480 AB Holding Units were withheld for tax purposes and 5,932 AB Holding Units were delivered to him.

SEC source: 0001296655-17-000004 · wf-form4_151273712075076.xml · nonDerivative · entry 1

Cranch Laurence E · CIK 0001296655 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation award program

Disclosed balance after: 89,012

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · balance_after: On December 1, 2017, 13,469 AB Holding Units previously owned by Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed to him. Of these AB Holding Units, 7,519 AB Holding Units were withheld for tax purposes and 5,950 AB Holding Units were delivered to him.

SEC source: 0001698316-17-000016 · wf-form4_151273697588643.xml · nonDerivative · entry 1

Burke Kate C · CIK 0001698316 · Head of Human Capital and CTO

10b5-1 filing: Not disclosed

Ownership: Indirect · by rabbi trust under employee incentive compensation plan

Disclosed balance after: 16,420

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")

F2 · balance_after: On December 1, 2017, 8,613 AB Holding Units previously owned by Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed to her. Of these AB Holding Units, 3,551 AB Holding Units were withheld for tax purposes and 5,062 AB Holding Units were delivered to her.

SEC source: 0001270609-17-000004 · wf-form4_151198922202859.xml · nonDerivative · entry 1

FARRELL EDWARD J · CIK 0001270609 · SVP and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,147

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · price: Reporting Person sold 10,000 AB Holding Units at prices ranging from $25.18 to $25.27 per Unit. The price set forth in the table is the weighted average of his sales at these prices.

SEC source: 0001538162-17-000002 · wf-form4_151057676019970.xml · nonDerivative · entry 3

van Brugge Robert P · CIK 0001538162 · Chairman and CEO, SCB LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,609

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · price: Reporting Person sold 7,000 AB Holding Units at prices ranging from $24.75 to $24.95 per Unit. The price set forth in the table is the weighted average of his sales at these prices.

SEC source: 0001538162-17-000002 · wf-form4_151057676019970.xml · nonDerivative · entry 2

van Brugge Robert P · CIK 0001538162 · Chairman and CEO, SCB LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,609

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

SEC source: 0001538162-17-000002 · wf-form4_151057676019970.xml · nonDerivative · entry 1

van Brugge Robert P · CIK 0001538162 · Chairman and CEO, SCB LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,609

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

SEC source: 0001389463-17-000073 · wf-form4_150827041649032.xml · nonDerivative · entry 1

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000071 · wf-form4_150818472533758.xml · nonDerivative · entry 4

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,659

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000071 · wf-form4_150818472533758.xml · nonDerivative · entry 3

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,159

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000071 · wf-form4_150818472533758.xml · nonDerivative · entry 2

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,659

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000071 · wf-form4_150818472533758.xml · nonDerivative · entry 1

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,659

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000069 · wf-form4_150776890082305.xml · nonDerivative · entry 5

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,659

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000069 · wf-form4_150776890082305.xml · nonDerivative · entry 4

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,159

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000069 · wf-form4_150776890082305.xml · nonDerivative · entry 3

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,659

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000069 · wf-form4_150776890082305.xml · nonDerivative · entry 2

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,159

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000069 · wf-form4_150776890082305.xml · nonDerivative · entry 1

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,659

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000067 · wf-form4_150732003140746.xml · nonDerivative · entry 2

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,159

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.

SEC source: 0001389463-17-000067 · wf-form4_150732003140746.xml · nonDerivative · entry 1

Gingrich James A · CIK 0001389463 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,659

F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units").

F2 · kind: Reporting Person sold AB Holding Units pursuant to a Rule 10b5-1 Plan.