Matus Kristi Ann

SEC source: 0001628280-26-064958 · wk-form4_1791232121.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,815

Underlying: Common Stock · 8,224 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on October 1, 2026 shall vest one year later on October 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the reporting person.

F2 · derivative.expiration_date: RSU's granted on October 1, 2026 shall vest one year later on October 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the reporting person.

SEC source: 0001628280-26-047525 · wk-form4_1783458141.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,591

Underlying: Common Stock · 6,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on July 1, 2026 shall vest one year later on July 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

F2 · derivative.expiration_date: RSUs granted on July 1, 2026 shall vest one year later on July 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

SEC source: 0000005513-26-000059 · wk-form4_1780005200.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,191

F1 · shares: All are restricted stock units ("RSUs") vesting on the earlier of May 26, 2027, or the date of Unum Group's next annual meeting of shareholders. The RSUs may be settled, on a 1-for-1 basis, only in shares of common stock.

F1 · balance_after: All are restricted stock units ("RSUs") vesting on the earlier of May 26, 2027, or the date of Unum Group's next annual meeting of shareholders. The RSUs may be settled, on a 1-for-1 basis, only in shares of common stock.

SEC source: 0001628280-26-023236 · wk-form4_1775162195.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,091

Underlying: Common Stock · 7,441 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 1, 2026 shall vest one year later on April 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on April 1, 2026 shall vest one year later on April 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001768267-26-000021 · wk-form4_1771027579.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,737

F1 · shares: The RSUs shall vest on the earlier of: (i) the first anniversary of the Date of Grant; or (ii) the day immediately prior to the Company's next fiscal year's Annual General Meeting.

SEC source: 0001543504-26-000002 · wk-form4_1767649354.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,650

Underlying: Common Stock · 4,524 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Octave Specialty Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

F2 · derivative.expiration_date: RSU's granted on January 1, 2026 shall vest one year later on January 1, 2027. RSUs that have become vested shall settle and convert into shares of common stock upon the earlier of the vesting date or the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company, unless otherwise deferred upon the election of the Reporting person.

SEC source: 0001628280-25-043682 · wk-form4_1759435573.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 4,126 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on October 1, 2025 shall vest one year later on October 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on October 1, 2025 shall vest one year later on October 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0001628280-25-043245 · wk-form4_1759263908.xml · derivative · entry 2

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 39,179 shares

Expires not disclosed

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_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F1 · derivative.exercise_date: Upon the closing of the sale of Ambac Assurance Corporation to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Director's Restricted Stock Units to vest and settle.

F1 · derivative.expiration_date: Upon the closing of the sale of Ambac Assurance Corporation to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Director's Restricted Stock Units to vest and settle.

SEC source: 0001628280-25-043245 · wk-form4_1759263908.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,179

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 · price: Upon the closing of the sale of Ambac Assurance Corporation to an entity owned by funds managed by Oaktree Capital Management, L.P., a change of control was triggered causing the Director's Restricted Stock Units to vest and settle.

SEC source: 0000874501-25-000116 · wk-form4_1751401596.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,179

Underlying: Common Stock · 7,053 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on July 1, 2025 shall vest one year later on July 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSUs granted on July 1, 2025 shall vest one year later on July 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0000874501-25-000070 · wk-form4_1743627290.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,126

Underlying: Common Stock · 5,728 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on April 1, 2025, shall vest one year later on April 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

F2 · derivative.expiration_date: RSU's granted on April 1, 2025, shall vest one year later on April 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

SEC source: 0000950170-25-022413 · ownership.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,769

F1 · shares: The RSUs shall vest on the earlier of: (i) the first anniversary of the Date of Grant; or (ii) the day immediately prior to the Company's next fiscal year's Annual General Meeting.

SEC source: 0000874501-25-000008 · wk-form4_1735938326.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,398

Underlying: Common Stock · 3,938 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on January 1, 2025 shall vest one year later on January 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

F2 · derivative.expiration_date: RSUs granted on January 1, 2025 shall vest one year later on January 1, 2026. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

SEC source: 0000874501-24-000228 · wk-form4_1727818133.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,460

Underlying: Common Stock · 4,497 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on October 1, 2024 shall vest one year later on October 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

F2 · derivative.expiration_date: RSUs granted on October 1, 2024 shall vest one year later on October 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company or upon a "change of control" of the Company.

SEC source: 0000874501-24-000220 · wk-form4_1727467221.xml · nonDerivative · entry 2

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

SEC source: 0000874501-24-000220 · wk-form4_1727467221.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,700

SEC source: 0000874501-24-000153 · wk-form4_1719863947.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,963

Underlying: Common Stock · 3,699 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on July 1, 2024 shall vest one year later on July 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on July 1, 2024 shall vest one year later on July 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0000874501-24-000101 · wk-form4_1712004713.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,264

Underlying: Common Stock · 3,299 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on April 1, 2024 shall vest one year later on April 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSUs granted on April 1, 2024 shall vest one year later on April 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0001667731-24-000094 · ownership.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,814

F1 · shares: Shares are subject to a Restricted Stock Agreement and will vest on the first anniversary of the date of grant.

SEC source: 0000874501-24-000008 · wk-form4_1704230882.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,965

Underlying: Common Stock · 3,147 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on January 1, 2024 shall vest one year later on January 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSUs granted on January 1, 2024 shall vest one year later on January 1, 2025. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0000874501-23-000131 · wk-form4_1696288238.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,818

Underlying: Common Stock · 3,934 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on October 2, 2023 shall vest one year later on October 2, 2024. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSUs granted on October 2, 2023 shall vest one year later on October 2, 2024. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0001209191-23-041297 · doc4.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,884

Underlying: Common Stock · 3,569 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSU's granted on July 1, 2023 shall vest one year later on July 1, 2024. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSU's granted on July 1, 2023 shall vest one year later on July 1, 2024. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0000874501-23-000115 · wk-form4_1687555261.xml · derivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315

Underlying: Common Stock · 315 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSUs") represents a contingent right to receive one share of common stock of Ambac Financial Group, Inc. (the "Company").

F1 · price: Each restricted stock unit ("RSUs") represents a contingent right to receive one share of common stock of Ambac Financial Group, Inc. (the "Company").

F2 · derivative.exercise_date: RSUs granted on June 22, 2023 shall vest one year later on June 22, 2024. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

F2 · derivative.expiration_date: RSUs granted on June 22, 2023 shall vest one year later on June 22, 2024. RSUs that have become vested shall settle and convert into shares of common stock upon the date that the reporting person resigns from, or otherwise ceases to be a member of, the Board of Directors of the Company.

SEC source: 0001209191-23-021127 · doc4.xml · nonDerivative · entry 2

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · price: This transaction was executed in multiple trades at prices ranging from $23.3500 to $23.4600. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001209191-23-021127 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,615

F1 · price: This transaction was executed in multiple trades at prices ranging from $23.2500 to $23.3100. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001667731-23-000096 · ownership.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,618

F1 · shares: Shares are subject to a Restricted Stock Agreement and will vest on the first anniversary of the date of grant.

SEC source: 0001209191-22-031112 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,297

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001628280-22-015199 · wf-form4_165333842687134.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,254

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 4,410 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 19, 2022; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal increments on each of May 19, 2023, 2024 and 2025.

F2 · shares: The Board of Directors of AllianceBernstein Corporation, general partner of AB Holding, granted 4,410 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 19, 2022; each Independent Director recused himself or herself from approving this grant. The AB Holding Units will vest and be delivered in equal increments on each of May 19, 2023, 2024 and 2025.

F3 · price: Closing price of an AB Holding Unit (NYSE: AB) on the grant date (May 19, 2022).

SEC source: 0001667731-22-000022 · ownership.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,199

F1 · shares: Shares are subject to a Restricted Stock Agreement and will vest on the first anniversary of the date of grant.

SEC source: 0001209191-21-071072 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,527

F1 · price: This transaction was executed in multiple trades at prices ranging from $32.32 to $32.41. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001209191-21-034866 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,527

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001543504-21-000002 · wf-form4_162188812882748.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,844

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 3,918 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 20, 2021; 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 20, 2022, 2023, 2024 and 2025.

F3 · price: Closing price of an AB Holding Unit (NYSE: AB) on the grant date (May 20, 2021).

SEC source: 0001667731-21-000052 · ownership.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,377

F1 · shares: Shares are subject to a Restricted Stock Purchase Agreement and will vest on the first anniversary of the date of grant.

SEC source: 0001209191-20-063130 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,682

F1 · shares: Represents shares that the Reporting Person donated to The Kristi A. Matus Fund, a donor advised fund.

SEC source: 0001667731-20-000435 · ownership.xml · nonDerivative · entry 3

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,332

SEC source: 0001667731-20-000435 · ownership.xml · nonDerivative · entry 2

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,140

SEC source: 0001667731-20-000435 · ownership.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,240

SEC source: 0001209191-20-031232 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,514

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001543504-20-000002 · wf-form4_159017823728535.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,926

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 7,176 restricted AB Holding Units to the Reporting Person during a meeting of the Board held on May 20, 2020; 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 20, 2021, 2022, 2023 and 2024.

F3 · price: The closing price on the NYSE of an AB Holding Unit on May 20, 2020, the award date.

SEC source: 0001667731-20-000028 · ownership.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,761

F1 · kind: Shares are subject to a Restricted Stock Purchase Agreement and will vest on the first anniversary of the date of grant.

SEC source: 0000950142-19-002101 · es1901166_4-matus.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,286

F1 · kind: Grant of restricted stock units that will vest 33% per year on the anniversary date.

SEC source: 0001209191-19-032939 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,474

F1 · shares: Grant of fully vested common stock under the AXA Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under rule 16b-3.