Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALLIANCEBERNSTEIN HOLDING L.P.AB · Entity 4151 | Chief Operating Officer | June 05, 2020 | June 09, 2020 |
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.
ALLIANCEBERNSTEIN HOLDING L.P.
Report date June 05, 2020 · Filed June 09, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| AB Holding UnitsSEC Table I · non-derivative | Direct | 67,090 |
Reported balance
After 2020-06-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-06-05 · Sale · Disposed 2,344 · Balance 67,090 F1: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units"). F2: Reporting Person sold 2,344 AB Holding Units at prices ranging from $27.30 to $27.46 per Unit. The price set forth in the table is the weighted average of his sales at these prices. |
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: Reporting Person sold 2,344 AB Holding Units at prices ranging from $27.30 to $27.46 per Unit. The price set forth in the table is the weighted average of his sales at these prices.
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 |
|---|---|---|---|---|---|---|
| June 13, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 3,500 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · derivative · entry 11 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,283 Underlying: AB Holding Units · 3,500 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. Read SEC document |
| June 13, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $23.05 | $80,675.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · nonDerivative · entry 6 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 363,581 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 13, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 3,500 | $17.05 | $59,675.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · nonDerivative · entry 5 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,081 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"). Read SEC document |
| June 13, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $23.05 | $80,675.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · nonDerivative · entry 4 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 363,581 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 3,500 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · derivative · entry 10 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,783 Underlying: AB Holding Units · 3,500 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. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $23.10 | $80,850.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · nonDerivative · entry 3 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,081 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 3,500 | $17.05 | $59,675.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · nonDerivative · entry 2 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,581 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"). Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $23.10 | $80,850.00 |
DisclosureSEC source: 0001389463-17-000013 · wf-form4_149747101980753.xml · nonDerivative · entry 1 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,081 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 09, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 3,500 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · derivative · entry 12 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 244,283 Underlying: AB Holding Units · 3,500 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. F5 · derivative.exercise_date: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014. Read SEC document |
| June 09, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $23.00 | $80,500.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 9 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,581 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 09, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 3,500 | $17.05 | $59,675.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 8 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 374,081 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"). Read SEC document |
| June 09, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $23.00 | $80,500.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 7 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,581 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 3,500 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · derivative · entry 11 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 247,783 Underlying: AB Holding Units · 3,500 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. F5 · derivative.exercise_date: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $22.93 | $80,237.50 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 6 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 374,081 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 in accordance with a Rule 10b5-1 Plan. F4 · price: 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. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 3,500 | $17.05 | $59,675.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 5 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377,581 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"). Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $22.93 | $80,237.50 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 4 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 374,081 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 in accordance with a Rule 10b5-1 Plan. F4 · price: 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. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 3,500 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · derivative · entry 10 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,283 Underlying: AB Holding Units · 3,500 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. F5 · derivative.exercise_date: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $22.88 | $80,062.50 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 3 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377,581 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 in accordance with a Rule 10b5-1 Plan. F3 · price: 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. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 3,500 | $17.05 | $59,675.00 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 2 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,081 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"). Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 20:38 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $22.88 | $80,062.50 |
DisclosureSEC source: 0001389463-17-000011 · wf-form4_149704071558103.xml · nonDerivative · entry 1 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 377,581 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 in accordance with a Rule 10b5-1 Plan. F3 · price: 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. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 1,750 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · derivative · entry 8 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,783 Underlying: AB Holding Units · 1,750 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. F2 · derivative.exercise_date: Reporting Person sold AB Holding Units in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 1,750 | $22.50 | $39,375.00 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · nonDerivative · entry 6 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,081 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 1,750 | $17.05 | $29,837.50 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · nonDerivative · entry 5 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,831 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"). Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 1,750 | $22.50 | $39,375.00 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · nonDerivative · entry 4 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,081 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 1,750 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · derivative · entry 7 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,533 Underlying: AB Holding Units · 1,750 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. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 1,750 | $22.75 | $39,812.50 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · nonDerivative · entry 3 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,831 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 1,750 | $17.05 | $29,837.50 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · nonDerivative · entry 2 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,581 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"). Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 11:27 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 1,750 | $22.75 | $39,812.50 |
DisclosureSEC source: 0001389463-17-000009 · wf-form4_149683484239940.xml · nonDerivative · entry 1 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,831 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 in accordance with a Rule 10b5-1 Plan. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 1,750 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · derivative · entry 8 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,283 Underlying: AB Holding Units · 1,750 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. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 1,750 | $22.70 | $39,725.00 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · nonDerivative · entry 6 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,581 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 his AB Holding Units pursuant to a Rule 10b5-1 Plan. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 1,750 | $17.05 | $29,837.50 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · nonDerivative · entry 5 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,331 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"). Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 1,750 | $22.55 | $39,462.50 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · nonDerivative · entry 4 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,581 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 his AB Holding Units pursuant to a Rule 10b5-1 Plan. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionAB Holding Unit option (right to buy) · Derivative | 3,500 | $0.00 Strike: $17.05 | $0.00 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · derivative · entry 7 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,033 Underlying: AB Holding Units · 3,500 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. F4 · derivative.exercise_date: The option vested in equal annual increments on each of January 23, 2010, 2011, 2012, 2013 and 2014. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $22.78 | $79,712.50 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · nonDerivative · entry 3 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,331 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 his AB Holding Units pursuant to a Rule 10b5-1 Plan. F3 · price: Reporting Person sold 1,750 AB Holding Units at $22.55 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. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Exercise / conversionunits rep. assignments of beneficial owner. of lp interests | 3,500 | $17.05 | $59,675.00 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · nonDerivative · entry 2 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,831 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"). Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 20:10 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Saleunits rep. assignments of beneficial owner. of lp interests | 3,500 | $22.78 | $79,712.50 |
DisclosureSEC source: 0001389463-17-000007 · wf-form4_149669340479533.xml · nonDerivative · entry 1 Gingrich James A · CIK 0001389463 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,331 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 his AB Holding Units pursuant to a Rule 10b5-1 Plan. F3 · price: Reporting Person sold 1,750 AB Holding Units at $22.55 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. Read SEC document |
| February 13, 2017 Filed Feb 22, 2017 21:04 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Grantunits rep. assignments of beneficial owner. of lp interests | 883,653 | $23.77 | $21,000,013.55 |
DisclosureSEC source: 0001389463-17-000004 · wf-form4_148779746650610.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: 1,337,685 F1 · security: Units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units"). F2 · shares: As described in AB's Form 10-K for the year ended December 31, 2016 ("2016 10-K"), as filed February 14, 2017, on February 13, 2017 ("grant date"), the Compensation Committee ("Compensation Committee") of the Board of Directors of AllianceBernstein Corporation approved a grant to Mr. Gingrich of restricted AB Holding Units with a value of $21 million (based on the average closing price on the NYSE of an AB Holding Unit for the period covering the four trading days immediately preceding the grant date, the grant date and the five trading days immediately following the grant date), in lieu of cash bonus and long-term incentive compensation awards for 2017, 2018 and 2019 for which he otherwise would have been eligible; provided he will be eligible to receive at the end of each such year an additional cash bonus, to the extent approved by the Compensation Committee. F3 · shares: Mr. Gingrich's restricted AB Holding Units will vest (after which they are no longer subject to forfeiture) ratably on each of December 1, 2017, 2018 and 2019, provided, with respect to each installment, Mr. Gingrich continues to be employed by our firm. F4 · shares: For additional information relating to Mr. Gingrich's award, please refer to the letter agreement memorializing the award, which was filed as Exhibit 10.01 to the 2016 10-K. F2 · price: As described in AB's Form 10-K for the year ended December 31, 2016 ("2016 10-K"), as filed February 14, 2017, on February 13, 2017 ("grant date"), the Compensation Committee ("Compensation Committee") of the Board of Directors of AllianceBernstein Corporation approved a grant to Mr. Gingrich of restricted AB Holding Units with a value of $21 million (based on the average closing price on the NYSE of an AB Holding Unit for the period covering the four trading days immediately preceding the grant date, the grant date and the five trading days immediately following the grant date), in lieu of cash bonus and long-term incentive compensation awards for 2017, 2018 and 2019 for which he otherwise would have been eligible; provided he will be eligible to receive at the end of each such year an additional cash bonus, to the extent approved by the Compensation Committee. F3 · price: Mr. Gingrich's restricted AB Holding Units will vest (after which they are no longer subject to forfeiture) ratably on each of December 1, 2017, 2018 and 2019, provided, with respect to each installment, Mr. Gingrich continues to be employed by our firm. F4 · price: For additional information relating to Mr. Gingrich's award, please refer to the letter agreement memorializing the award, which was filed as Exhibit 10.01 to the 2016 10-K. Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 21:56 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Tax withholdingunits rep. assignments of beneficial owner. of lp interests | 6,554 | $23.35 | $153,035.90 |
DisclosureSEC source: 0001389463-17-000002 · wf-form4_148607260706849.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: 454,032 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, 2017, 18,930 AB Holding Units previously owned by the Reporting Person through a rabbi trust under an employee incentive compensation award program were distributed to him. Of these AB Holding Units, 6,554 AB Holding Units were withheld for tax purposes and 12,376 AB Holding Units were delivered to him. Read SEC document |
| December 09, 2016 Filed Dec 13, 2016 21:15 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Grantunits rep. assignments of beneficial owner. of lp interests | 140,517 | $23.20 | $3,259,994.40 |
DisclosureSEC source: 0001389463-16-000007 · wf-form4_148166371621342.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: 472,962 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 2016 deferred incentive compensation award, which was approved by the Compensation Committee of the Board on December 9, 2016, was made in the form of AB Holding Units. Reporting Person therefore may be deemed to have acquired 140,517 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 distributed 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, 2017, 2018, 2019 and 2020. The price set forth in the table is the closing price of an AB Holding Unit on December 9, 2016. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 21:21 UTC | ALLIANCEBERNSTEIN HOLDING L.P. AB · Entity 4151 | Tax withholdingunits rep. assignments of beneficial owner. of lp interests | 61,866 | $22.90 | $1,416,731.40 |
DisclosureSEC source: 0001389463-16-000005 · wf-form4_148097287227153.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: 332,445 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, 2016, 119,964 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, 61,866 AB Holding Units were withheld for tax purposes and 58,098 AB Holding Units were delivered to him. 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.