Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AB Multi-Manager Alternative FundNONE · Entity 1485 | Director of Fund's Adviser | April 29, 2017 | May 08, 2017 |
| ALLIANCE CALIFORNIA MUNICIPAL INCOME FUNDAKP · Entity 11973 | Director of Fund's Adviser | April 29, 2017 | May 08, 2017 |
| ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FUND INCAWF · Entity 5051 | Director of Fund's Adviser | April 29, 2017 | May 08, 2017 |
| ALLIANCEBERNSTEIN HOLDING L.P.AB · Entity 4151 | Director | May 14, 2019 | May 16, 2019 |
| ALLIANCEBERNSTEIN L.P.NONE · Entity 66568 | Director | April 29, 2017 | May 08, 2017 |
| ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUNDAFB · Entity 8874 | Director of Fund's Adviser | April 29, 2017 | May 08, 2017 |
| BANC OF CALIFORNIA, INC.BANC · Entity 4259 | Director | May 13, 2021 | May 17, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AB Multi-Manager Alternative Fund
Report date April 29, 2017 · Filed May 08, 2017
This filing explicitly reported no securities owned.
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
Report date April 29, 2017 · Filed May 08, 2017
This filing explicitly reported no securities owned.
ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FUND INC
Report date April 29, 2017 · Filed May 08, 2017
This filing explicitly reported no securities owned.
ALLIANCEBERNSTEIN HOLDING L.P.
Report date May 14, 2019 · Filed May 16, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| units rep. assignments of beneficial owner. of lp interestsSEC Table I · non-derivative | Direct | 19,189 |
Reported balance
After 2019-05-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-05-14 · Grant · Acquired 5,810 · Balance 19,189 F1: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") F2: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 5,810 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 14, 2019; 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 14, 2020, 2021, 2022 and 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units")
F2: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 5,810 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 14, 2019; 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 14, 2020, 2021, 2022 and 2023.
ALLIANCEBERNSTEIN L.P.
Report date April 29, 2017 · Filed May 08, 2017
This filing explicitly reported no securities owned.
ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND
Report date April 29, 2017 · Filed May 08, 2017
This filing explicitly reported no securities owned.
BANC OF CALIFORNIA, INC.
Report date May 13, 2021 · Filed May 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,405.69 |
Reported balance
After 2021-05-13 transaction · row 1
1 source rowRow 1 · 2021-05-13 · Grant · Acquired 3,989 · Balance 22,405.69 F1: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 13, 2021 Filed May 17, 2021 20:06 UTC | BANC OF CALIFORNIA, INC. BANC · Entity 4259 | GrantCommon Stock | 3,989 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-002504 · form4-05172021_040537.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,405.69 F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date. Read SEC document |
| May 14, 2020 Filed May 18, 2020 21:45 UTC | BANC OF CALIFORNIA, INC. BANC · Entity 4259 | GrantCommon Stock | 8,676 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-20-001247 · form4-05182020_050536.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,416.69 F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date. F2 · balance_after: Amount of securities beneficially owned following the transaction reported herein includes shares of the Issuer's common stock acquired by the Reporting Person pursuant to a broker-administered dividend reinvestment plan. Read SEC document |
| June 12, 2019 Filed Jun 17, 2019 13:18 UTC | BANC OF CALIFORNIA, INC. BANC · Entity 4259 | GrantCommon Stock | 6,044 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000716 · form4-06172019_060653.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,707 F1 · kind: Represents restricted stock units ("RSUs") issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. Shares will be issued in full upon vesting, which is scheduled to occur on the one-year anniversary of the grant date. Read SEC document |
| May 14, 2019 Filed May 16, 2019 23:35 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Grantunits rep. assignments of beneficial owner. of lp interests | 5,810 | $29.26 | $170,000.60 |
DisclosureSEC source: 0001703984-19-000004 · wf-form4_155804971548062.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,189 F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") F2 · kind: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 5,810 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 14, 2019; 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 14, 2020, 2021, 2022 and 2023. Read SEC document |
| September 06, 2018 Filed Sep 11, 2018 01:35 UTC | BANC OF CALIFORNIA, INC. BANC · Entity 4259 | GrantCommon Stock | 3,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-001347 · form4-09102018_060913.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,663 F1 · kind: Represents restricted stock units issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. The awards will automatically vest in full on May 31, 2019, subject to earlier vesting if certain conditions are met. F1 · price: Represents restricted stock units issued to the Reporting Person as consideration for her service on the Issuer's Board of Directors. The awards will automatically vest in full on May 31, 2019, subject to earlier vesting if certain conditions are met. Read SEC document |
| September 04, 2018 Filed Sep 6, 2018 22:30 UTC | BANC OF CALIFORNIA, INC. BANC · Entity 4259 | PurchaseCommon Stock | 100 | $20.28 | $2,028.00 |
DisclosureSEC source: 0001415889-18-001331 · form4-09062018_030925.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,028 Read SEC document |
| September 04, 2018 Filed Sep 11, 2018 01:38 UTC Amendment | BANC OF CALIFORNIA, INC. BANC · Entity 4259 | PurchaseCommon Stock | 100 | $20.28 | $2,028.00 |
DisclosureSEC source: 0001415889-18-001349 · form4a-09102018_060938.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100 F1 · balance_after: The Reporting Person is filing this amendment to the Form 4, first filed on September 6, 2018 (the "Original Form 4"), to correct the number of shares beneficially held following the completion of the transaction reported in the Original Form 4. Read SEC document |
| May 15, 2018 Filed May 15, 2018 21:26 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Grantunits rep. assignments of beneficial owner. of lp interests | 6,320 | $26.90 | $170,008.00 |
DisclosureSEC 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. Read SEC document |
| May 16, 2017 Filed May 18, 2017 21:11 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Grantunits rep. assignments of beneficial owner. of lp interests | 7,059 | $21.25 | $150,003.75 |
DisclosureSEC source: 0001703984-17-000008 · wf-form4_149514185028690.xml · nonDerivative · entry 1 Fallon-Walsh Barbara · CIK 0001703984 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,059 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 7,059 restricted AB Holding Units vests and gets delivered ratably on each of May 16, 2017, 2018, 2019 and 2020. F3 · price: The closing price on the NYSE of an AB Holding Unit on May 16, 2017, the award date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.