Equitable Holdings, Inc.

SEC source: 0001628280-25-047809 · wk-form4_1761941202.xml · nonDerivative · entry 3

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,520,154

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

F5 · shares: On October 30, 2025, EQH purchased 50,000 AB Units in a privately-negotiated transaction.

F3 · ownership.direct: Prior to the transactions contemplated in this Form 4, as of October 29, 2025, the Reporting Person beneficially owned directly 81,445,154 AB Units. For more information on the Reporting Person and its direct holdings of AB Units, see its prior Form 4 filings with respect to AB Units.

SEC source: 0001628280-25-047809 · wk-form4_1761941202.xml · nonDerivative · entry 2

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,470,154

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

F4 · shares: On October 30, 2025, EQH purchased 15,000 AB Units in a privately-negotiated transaction.

F3 · ownership.direct: Prior to the transactions contemplated in this Form 4, as of October 29, 2025, the Reporting Person beneficially owned directly 81,445,154 AB Units. For more information on the Reporting Person and its direct holdings of AB Units, see its prior Form 4 filings with respect to AB Units.

SEC source: 0001628280-25-047809 · wk-form4_1761941202.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,455,154

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

F2 · shares: On October 30, 2025, Equitable Holdings Inc. ("EQH") purchased 10,000 AB Units in a privately-negotiated transaction.

F3 · ownership.direct: Prior to the transactions contemplated in this Form 4, as of October 29, 2025, the Reporting Person beneficially owned directly 81,445,154 AB Units. For more information on the Reporting Person and its direct holdings of AB Units, see its prior Form 4 filings with respect to AB Units.

SEC source: 0001628280-26-008276 · wk-form4_1771034229.xml · derivative · entry 5

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Units · 19,682,946 shares

Expires 2025-07-10

F2 · security: As previously disclosed by the Reporting Person ("EQH") on a Form 4 filed with the Securities and Exchange Commission on December 19, 2024, EQH and AB entered into a Master Exchange Agreement (the "Exchange Agreement") providing for the issuance by AB of up to 10,000,000 AB Units to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") owned by EQH or any such subsidiary. At the time the Exchange Agreement was entered into, AB and EQH exchanged 5,211,194 AB Holding Units for AB Units (thereby reducing the 10,000,000 AB Units available for future exchange to 4,788,806 AB Units), and the acquired AB Holding Units were retired.

F3 · security: On July 10, 2025, AB entered in an Amended and Restated Exchange Agreement (the "Amended Exchange Agreement") to increase the AB Units that remain available for exchange from 4,788,806 AB Units to 19,682,946 AB Units. At the time the Amended Exchange Agreement was entered into, AB and EQH exchanged 19,682,946 AB Holding Units for AB Units and the acquired AB Holding Units were retired. For more information concerning EQH's holdings of AB Holding Units, see its separate Form 4 filing with respect to AB Holding Units.

SEC source: 0001628280-26-008276 · wk-form4_1771034229.xml · derivative · entry 4

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Units · 14,894,140 shares

Expires 2025-07-10

F2 · security: As previously disclosed by the Reporting Person ("EQH") on a Form 4 filed with the Securities and Exchange Commission on December 19, 2024, EQH and AB entered into a Master Exchange Agreement (the "Exchange Agreement") providing for the issuance by AB of up to 10,000,000 AB Units to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") owned by EQH or any such subsidiary. At the time the Exchange Agreement was entered into, AB and EQH exchanged 5,211,194 AB Holding Units for AB Units (thereby reducing the 10,000,000 AB Units available for future exchange to 4,788,806 AB Units), and the acquired AB Holding Units were retired.

F3 · security: On July 10, 2025, AB entered in an Amended and Restated Exchange Agreement (the "Amended Exchange Agreement") to increase the AB Units that remain available for exchange from 4,788,806 AB Units to 19,682,946 AB Units. At the time the Amended Exchange Agreement was entered into, AB and EQH exchanged 19,682,946 AB Holding Units for AB Units and the acquired AB Holding Units were retired. For more information concerning EQH's holdings of AB Holding Units, see its separate Form 4 filing with respect to AB Holding Units.

SEC source: 0001628280-26-008276 · wk-form4_1771034229.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,445,154

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

F2 · kind: As previously disclosed by the Reporting Person ("EQH") on a Form 4 filed with the Securities and Exchange Commission on December 19, 2024, EQH and AB entered into a Master Exchange Agreement (the "Exchange Agreement") providing for the issuance by AB of up to 10,000,000 AB Units to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") owned by EQH or any such subsidiary. At the time the Exchange Agreement was entered into, AB and EQH exchanged 5,211,194 AB Holding Units for AB Units (thereby reducing the 10,000,000 AB Units available for future exchange to 4,788,806 AB Units), and the acquired AB Holding Units were retired.

F3 · kind: On July 10, 2025, AB entered in an Amended and Restated Exchange Agreement (the "Amended Exchange Agreement") to increase the AB Units that remain available for exchange from 4,788,806 AB Units to 19,682,946 AB Units. At the time the Amended Exchange Agreement was entered into, AB and EQH exchanged 19,682,946 AB Holding Units for AB Units and the acquired AB Holding Units were retired. For more information concerning EQH's holdings of AB Holding Units, see its separate Form 4 filing with respect to AB Holding Units.

F4 · ownership.direct: Prior to the exchange, EQH beneficially owned directly 61,762,208 AB Units and beneficially owned indirectly 75,851,289 AB Units beneficially owned directly by Alpha Units Holdings, Inc., a wholly-owned subsidiary of EQH, and beneficially owned indirectly 41,934,582 AB Units beneficially owned directly by Alpha Units Holdings II, Inc, also a wholly-owned subsidiary of EQH. For more information on the Reporting Person's affiliates' holdings of AB Units, see their separate Form 4 filings with respect to AB Units.

SEC source: 0001628280-25-034836 · wk-form4_1752500203.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

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

F2 · kind: As previously disclosed by the Reporting Person ("EQH") on a Form 4 filed with the Securities and Exchange Commission on December 19, 2024, EQH and AllianceBernstein L.P. ("AB") entered into a Master Exchange Agreement (the "Exchange Agreement") providing for the issuance by AB of up to 10,000,000 units representing assignments of beneficial ownership of limited partnership interests in AB ("AB Units") to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of AB Holding Units owned by EQH or any such subsidiary. At the time the Exchange Agreement was entered into, AB and EQH exchanged 5,211,194 AB Holding Units for AB Units (thereby reducing the 10,000,000 AB Units available for future exchange to 4,788,806 AB Units), and the acquired AB Holding Units were retired.

F3 · kind: On July 10, 2025, AB entered into an Amended and Restated Exchange Agreement (the "Amended Exchange Agreement") to increase the AB Units that remain available for exchange from 4,788,806 AB Units to 19,682,946 AB Units. At the time the Amended Exchange Agreement was entered into, AB and EQH exchanged 19,682,946 AB Holding Units for AB Units and the acquired AB Holding Units were retired.

F4 · ownership.direct: In addition to the AB Holding Units reported on this Form 4, the Reporting Person and its affiliates beneficially own AB Units as follows. As of July 10, 2025, EQH beneficially owned directly 81,445,154 AB Units; Alpha Units Holdings, Inc. beneficially owned 75,851,289 AB Units; and Alpha Units Holdings II, Inc. beneficially owned directly 41,934,582 AB Units. For more information on the Reporting Person and its affiliates' holdings of AB Units, see their separate Form 4 filings with respect to AB Units.

SEC source: 0001628280-25-034835 · wk-form4_1752500172.xml · derivative · entry 5

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Units · 19,682,946 shares

Expires 2025-07-10

F2 · security: As previously disclosed by the Reporting Person ("EQH") on a Form 4 filed with the Securities and Exchange Commission on December 19, 2024, EQH and AB entered into a Master Exchange Agreement (the "Exchange Agreement") providing for the issuance by AB of up to 10,000,000 AB Units to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") owned by EQH or any such subsidiary. At the time the Exchange Agreement was entered into, AB and EQH exchanged 5,211,194 AB Holding Units for AB Units (thereby reducing the 10,000,000 AB Units available for future exchange to 4,788,806 AB Units), and the acquired AB Holding Units were retired.

F3 · security: On July 10, 2025, AB entered in an Amended and Restated Exchange Agreement (the "Amended Exchange Agreement") to increase the AB Units that remain available for exchange from 4,788,806 AB Units to 19,682,946 AB Units. At the time the Amended Exchange Agreement was entered into, AB and EQH exchanged 19,682,946 AB Holding Units for AB Units and the acquired AB Holding Units were retired. For more information concerning EQH's holdings of AB Holding Units, see its separate Form 4 filing with respect to AB Holding Units.

SEC source: 0001628280-25-034835 · wk-form4_1752500172.xml · derivative · entry 4

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682,946

Underlying: Units · 14,894,140 shares

Expires 2025-07-10

F2 · security: As previously disclosed by the Reporting Person ("EQH") on a Form 4 filed with the Securities and Exchange Commission on December 19, 2024, EQH and AB entered into a Master Exchange Agreement (the "Exchange Agreement") providing for the issuance by AB of up to 10,000,000 AB Units to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") owned by EQH or any such subsidiary. At the time the Exchange Agreement was entered into, AB and EQH exchanged 5,211,194 AB Holding Units for AB Units (thereby reducing the 10,000,000 AB Units available for future exchange to 4,788,806 AB Units), and the acquired AB Holding Units were retired.

F3 · security: On July 10, 2025, AB entered in an Amended and Restated Exchange Agreement (the "Amended Exchange Agreement") to increase the AB Units that remain available for exchange from 4,788,806 AB Units to 19,682,946 AB Units. At the time the Amended Exchange Agreement was entered into, AB and EQH exchanged 19,682,946 AB Holding Units for AB Units and the acquired AB Holding Units were retired. For more information concerning EQH's holdings of AB Holding Units, see its separate Form 4 filing with respect to AB Holding Units.

SEC source: 0001628280-25-034835 · wk-form4_1752500172.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,445,154

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

F2 · kind: As previously disclosed by the Reporting Person ("EQH") on a Form 4 filed with the Securities and Exchange Commission on December 19, 2024, EQH and AB entered into a Master Exchange Agreement (the "Exchange Agreement") providing for the issuance by AB of up to 10,000,000 AB Units to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of units representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("AB Holding Units") owned by EQH or any such subsidiary. At the time the Exchange Agreement was entered into, AB and EQH exchanged 5,211,194 AB Holding Units for AB Units (thereby reducing the 10,000,000 AB Units available for future exchange to 4,788,806 AB Units), and the acquired AB Holding Units were retired.

F3 · kind: On July 10, 2025, AB entered in an Amended and Restated Exchange Agreement (the "Amended Exchange Agreement") to increase the AB Units that remain available for exchange from 4,788,806 AB Units to 19,682,946 AB Units. At the time the Amended Exchange Agreement was entered into, AB and EQH exchanged 19,682,946 AB Holding Units for AB Units and the acquired AB Holding Units were retired. For more information concerning EQH's holdings of AB Holding Units, see its separate Form 4 filing with respect to AB Holding Units.

F4 · ownership.direct: Prior to the exchange, EQH beneficially owned directly 61,762,208 AB Units and beneficially owned indirectly 75,851,289 AB Units beneficially owned directly by Alpha Units Holdings, Inc., a wholly-owned subsidiary of EQH, and beneficially owned indirectly 41,934,582 AB Units beneficially owned directly by Alpha Units Holdings II, Inc, also a wholly-owned subsidiary of EQH. For more information on the Reporting Person's affiliates' holdings of AB Units, see their separate Form 4 filings with respect to AB Units.

SEC source: 0000950170-25-051254 · ownership.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,682,946

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

F2 · balance_after: The purchases reflected in this row were pursuant to a tender offer that expired at 5:00 p.m., New York City time, on April 1, 2025. Until December 19, 2026, the Reporting Person may exchange up to 4,788,806 Holding Units for an equal number of units of limited partnership interests ("AB Units") in AllianceBernstein L.P. ("AllianceBernstein") issuable to the Reporting Person or any of its wholly-owned subsidiaries pursuant to a Master Exchange Agreement, dated December 19, 2024, with AllianceBernstein.

F3 · ownership.direct: In addition to the Holding Units reported in this Form 4, the Reporting Person and its affiliates beneficially own AB Units as follows. As of April 2, 2025, the Reporting Person beneficially owned directly 66,551,014 AB Units (assuming the exchange of 4,788,806 Holding Units for an equal number of AB Units); Alpha Units Holdings, Inc. beneficially owned 75,851,289 AB Units; and Alpha Units Holding II, Inc. beneficially owned directly 41,934,582 AB Units. For more information on the Reporting Person's and its affiliates' holdings of AB Units, see their separate Form 4 filings with respect to AB Units.

SEC source: 0000950170-25-051264 · ownership.xml · derivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner · See Remarks

Alpha Units Holdings, Inc. · CIK 0001761959 · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,788,806

Underlying: Units · 4,788,806 shares

Expires 2026-12-19

F1 · security: On December 19, 2024, AllianceBernstein L.P. ("AB") entered into a Master Exchange Agreement ("Exchange Agreement") providing for the issuance by AB of up to 10,000,000 Units Representing Assignments of Beneficial Ownership of Limited Partnership Interests ("AB Units") of AB to Equitable Holdings, Inc. ("EQH") and any of its wholly-owned subsidiaries in exchange for an equal number of Assignments of Beneficial Ownership of Limited Partnership Interests ("Holding Units") in AllianceBernstein Holding L.P. ("Holding") owned by the EQH and such subsidiary, with such exchanges to occur from time to time until December 19, 2026. Each Holding Unit so exchanged will be retired following such exchange. At the time the Exchange Agreement was entered into,

F2 · security: (Continued from footnote 1) AB and the EQH exchanged 3,766,838 AB Units and AB and Alpha Units Holdings, Inc. exchanged 1,444,356 AB Units, in each case for an equal number of Holding Units (thereby reducing the 10,000,000 AB Units available for future exchange), and the acquired Holding Units were retired.

F3 · balance_after: The securities disclosed in this row reflect the purchase of Holding Units by EQH pursuant to a tender offer that expired at 5:00 p.m., New York City time, on April 1, 2025. Although EQH purchased 19,766,878 Holding Units in the tender offer, only 4,788,806 Holding Units are exchangeable for AB Units under the Exchange Agreement. For more information on EQH's holdings of Holding Units, see its separate Form 4 filings with respect to Holding Units.

SEC source: 0001628280-24-052087 · wk-form4_1734644069.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

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

F2 · kind: On December 19, 2024, AllianceBernstein L.P. ("AB") entered into a Master Exchange Agreement ("Exchange Agreement") providing for the issuance by AB of up to 10,000,000 units ("AB Units") representing assignments of beneficial ownership of limited partnership interests in AB to Equitable Holdings, Inc. ("EQH") and any of its wholly-owned subsidiaries in exchange for an equal number of Holding Units owned by EQH and such subsidiary, with such exchanges to occur from time to time over the next two years. Each Holding Unit so exchanged will be retired following such exchange. At the time the Exchange Agreement was entered into, AB and EQH exchanged 3,766,838 AB Units and AB and Alpha Units Holdings, Inc. exchanged 1,444,356 AB Units, in each case for an equal amount of Holding Units (thereby reducing the 10,000,000 AB Units available for future exchange), and the acquired Holding Units were retired.

F3 · ownership.direct: In addition to the Holding Units reported in this Form 4, the Reporting Person and its affiliates beneficially own AB Units as follows. As of December 19, 2024, EQH beneficially owned directly 61,762,208 AB Units; Alpha Units Holdings, Inc. beneficially owned 75,851,289 AB Units; and Alpha Units Holdings II, Inc. beneficially owned directly 41,934,582 AB Units. For more information on the Reporting Person and its affiliates' holdings of AB Units, see their separate Form 4 filings with respect to AB Units.

SEC source: 0001628280-24-052086 · wk-form4_1734643991.xml · nonDerivative · entry 2

Equitable Holdings, Inc. · CIK 0001333986 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,762,208

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

F5 · kind: On December 19, 2024, AB entered into a Master Exchange Agreement ("Exchange Agreement") providing for the issuance by AB of up to 10,000,000 AB Units to EQH and any of its wholly-owned subsidiaries in exchange for an equal number of units ("Holding Units") representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. owned by EQH and such subsidiary, with such exchanges to occur from time to time over the next two years. Each Holding Unit so exchanged will be retired following such exchange. At the time the Exchange Agreement was entered into, AB and EQH exchanged 3,766,838 AB Units and AB and Alpha Units Holdings, Inc. exchanged 1,444,356 AB Units, in each case for an equal number of Holding Units (thereby reducing the 10,000,000 AB Units available for future exchange), and the acquired Holding Units were retired.

F3 · ownership.direct: Prior to the Sale and Exchange, EQH beneficially owned directly 53,780,230 AB Units and beneficially owned indirectly 74,406,933 AB Units beneficially owned directly by Alpha Units Holdings, Inc., a wholly-owned subsidiary of EQH, and beneficially owned indirectly 41,934,582 AB Units beneficially owned directly by Alpha Units Holdings II, Inc, also a wholly-owned subsidiary of EQH.

F4 · ownership.direct: In addition to the AB Units reported in this Form 4, the Reporting Person and its affiliates beneficially own AB Units as follows. As of December 19, 2024, Alpha Units Holdings, Inc. beneficially owned 75,851,289 AB Units and Alpha Units Holdings II, Inc. beneficially owned directly 41,934,582 AB Units. For more information on the Reporting Person and its affiliates' holdings of AB Units, see their separate Form 4 filings with respect to AB Units.

SEC source: 0001628280-24-052086 · wk-form4_1734643991.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,995,370

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

F2 · kind: On December 19, 2024, AB entered into an agreement providing for, and consummated, the sale by AB of 4,215,140 AB Units to Equitable Holdings, Inc. ("EQH") for a cash purchase price per AB Units of $35.59.

F3 · ownership.direct: Prior to the Sale and Exchange, EQH beneficially owned directly 53,780,230 AB Units and beneficially owned indirectly 74,406,933 AB Units beneficially owned directly by Alpha Units Holdings, Inc., a wholly-owned subsidiary of EQH, and beneficially owned indirectly 41,934,582 AB Units beneficially owned directly by Alpha Units Holdings II, Inc, also a wholly-owned subsidiary of EQH.

F4 · ownership.direct: In addition to the AB Units reported in this Form 4, the Reporting Person and its affiliates beneficially own AB Units as follows. As of December 19, 2024, Alpha Units Holdings, Inc. beneficially owned 75,851,289 AB Units and Alpha Units Holdings II, Inc. beneficially owned directly 41,934,582 AB Units. For more information on the Reporting Person and its affiliates' holdings of AB Units, see their separate Form 4 filings with respect to AB Units.

SEC source: 0000950170-24-109102 · ownership.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,066,838

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

F2 · kind: On September 20, 2024, Equitable Holdings, Inc. ("Equitable Holdings") purchased 500,000 Holding Units in a privately-negotiated transaction.

F3 · ownership.direct: Equitable Holdings beneficially owns directly 3,066,838 Holding Units and beneficially owns indirectly 1,444,356 Holding Units beneficially owned directly by Alpha Units Holding, LLC, a wholly-owned subsidiary of Equitable Holdings.

F4 · 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 September 20, 2024, EQH beneficially owned directly 53,780,230 AB Capital Units; Alpha Units Holdings, LLC beneficially owned 74,406,933 AB Capital Units; and Alpha Units Holding II, LLC beneficially owned directly 41,934,582 AB Capital Units. 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: 0000950170-24-122385 · ownership.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,766,838

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

F2 · kind: On November 4, 2024, Equitable Holdings Inc. ("Equitable Holdings") purchased 700,000 Holding Units in a privately-negotiated transaction.

F3 · ownership.direct: Equitable Holdings beneficially owns directly 3,766,838 Holding Units and beneficially owns indirectly 1,444,356 Holding Units beneficially owned directly by Alpha Units Holding, LLC, a wholly-owned subsidiary of Equitable Holdings.

F4 · 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 November 4, 2024, EQH beneficially owned directly 53,780,230 AB Capital Units; Alpha Units Holdings, LLC beneficially owned 74,406,933 AB Capital Units; and Alpha Units Holding II, LLC beneficially owned directly 41,934,582 AB Capital Units. 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: 0001209191-21-032697 · doc4.xml · nonDerivative · entry 1

Equitable Holdings, Inc. · CIK 0001333986 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,121,745

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

F2 · kind: On May 14, 2021, Equitable Financial Life Insurance Company of America distributed 2,587,472 AB Capital Units to its sole shareholder, Equitable Financial Services, LLC. Upon receipt of the 2,587,472 AB Capital Units, Equitable Financial Services, LLC distributed these AB Capital Units to its sole member, Equitable Holdings, Inc.

F2 · price: On May 14, 2021, Equitable Financial Life Insurance Company of America distributed 2,587,472 AB Capital Units to its sole shareholder, Equitable Financial Services, LLC. Upon receipt of the 2,587,472 AB Capital Units, Equitable Financial Services, LLC distributed these AB Capital Units to its sole member, Equitable Holdings, Inc.

F3 · balance_after: Equitable Holdings, Inc. beneficially owns directly 53,780,230 AB Capital Units and beneficially owns indirectly 74,406,933 AB Capital Units beneficially owned directly by Alpha Units Holdings, Inc. and 41,934,582 AB Capital Units beneficially owned directly by Alpha Units Holding II, Inc. Alpha Units Holdings, Inc and Alpha Units Holding II, Inc. are each wholly-owned subsidiaries of Equitable Holdings, Inc.

F3 · ownership.direct: Equitable Holdings, Inc. beneficially owns directly 53,780,230 AB Capital Units and beneficially owns indirectly 74,406,933 AB Capital Units beneficially owned directly by Alpha Units Holdings, Inc. and 41,934,582 AB Capital Units beneficially owned directly by Alpha Units Holding II, Inc. Alpha Units Holdings, Inc and Alpha Units Holding II, Inc. are each wholly-owned subsidiaries of Equitable Holdings, Inc.

SEC source: 0001209191-18-063888 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,566,838

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 20, 2018, 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 S.A. ("AXA") indirectly owns 59.2% the common stock of Equitable Holdings, a holding company for a group of insurance and related financial services companies. Equitable Holdings is the sole member of AXA Equitable Financial Services, LLC, 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"). Equitable Holdings also wholly owns AXA-IM Holding U.S. Inc. ("AXA-IM Holding").

F4 · ownership.direct: As of December 31, 2017, 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 23.97% 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 2,566,838 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 21, 2018, Equitable Holdings beneficially owned directly 51,192,758 AB Capital Units; ACMC beneficially owned directly 74,406,933 AB Capital Units; AXA-IM Holding beneficially owned directly 41,934,582 AB Capital Units; MLOA beneficially owned directly 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: 0001209191-18-052793 · doc4.xml · nonDerivative · entry 1

AXA Equitable Holdings, Inc. · CIK 0001333986 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,121,745

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

F2 · kind: On October 1, 2018, AXA Financial, Inc. ("AXF") merged with and into its direct parent, AXA Equitable Holdings, Inc. ("Equitable Holdings"), with Equitable Holdings continuing as the surviving entity. As a result of the merger, Equitable Holdings acquired direct beneficial ownership of 43,032,758 AB Capital Units, which were previously directly beneficially owned by AXF.

F2 · price: On October 1, 2018, AXA Financial, Inc. ("AXF") merged with and into its direct parent, AXA Equitable Holdings, Inc. ("Equitable Holdings"), with Equitable Holdings continuing as the surviving entity. As a result of the merger, Equitable Holdings acquired direct beneficial ownership of 43,032,758 AB Capital Units, which were previously directly beneficially owned by AXF.

F3 · ownership.direct: As of October 1, 2018, AXA indirectly owns approximately 71.9% of the outstanding common stock of Equitable Holdings, a holding company for a group of insurance and related financial services companies. Following its merger with AXF, Equitable Holdings is the sole member of AXA Equitable Financial Services, LLC, 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"). Equitable Holdings also wholly owns AXA-IM Holding U.S. Inc. ("AXA-IM Holding").

F4 · ownership.direct: As of December 31, 2017, 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 23.97% 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 51,192,758 AB Capital Units and beneficially owns indirectly 74,406,933 AB Capital Units beneficially owned directly by ACMC, 2,587,472 AB Capital Units beneficially owned directly by MLOA and 41,934,582 AB Capital Units beneficially owned directly by AXA-IM Holding.

F6 · ownership.direct: In addition to the AB Capital Units reported in this Form 4, the Reporting Person and its affiliates beneficially own units of limited partnership interests ("Holding Units") in AllianceBernstein Holding L.P. ("Holding") as follows. As of October 1, 2018, Equitable Holdings beneficially owned directly 2,312,163 Holding Units, ACMC beneficially owned directly 1,444,356 Holding 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 Holding Units, see their separate Form 4 filings with respect to Holding Units.

SEC source: 0001209191-18-026008 · doc4.xml · nonDerivative · entry 2

AXA Equitable Holdings, Inc. · CIK 0001333986 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By affiliate

Disclosed balance after: 170,121,745

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

F7 · kind: On April 23, 2018, Equitable Holdings entered into a Stock Purchase Agreement (the "Stock Purchase Agreement") with AXA Investment Managers S.A. relating to the purchase and sale of all of the issued and outstanding shares of common stock of AXA-IM Holding. As a result of the transactions contemplated by the Stock Purchase Agreement, Equitable Holdings indirectly beneficially owns the 41,934,582 AB Capital Units owned AXA-IM Holding.

F7 · price: On April 23, 2018, Equitable Holdings entered into a Stock Purchase Agreement (the "Stock Purchase Agreement") with AXA Investment Managers S.A. relating to the purchase and sale of all of the issued and outstanding shares of common stock of AXA-IM Holding. As a result of the transactions contemplated by the Stock Purchase Agreement, Equitable Holdings indirectly beneficially owns the 41,934,582 AB Capital Units owned AXA-IM Holding.

F5 · ownership.direct: Equitable Holdings beneficially owns directly 8,160,000 AB Capital Units and beneficially owns indirectly 43,032,758 AB Capital Units beneficially owned directly by AXF, 74,406,933 AB Capital Units beneficially owned directly by ACMC, 2,587,472 AB Capital Units beneficially owned directly by MLOA and 41,934,582 AB Capital Units beneficially owned directly by AXA-IM Holding.

SEC source: 0001209191-18-026008 · doc4.xml · nonDerivative · entry 1

AXA Equitable Holdings, Inc. · CIK 0001333986 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,187,163

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

F2 · kind: On April 23, 2018, AXA Equitable Holdings Inc. ("Equitable Holdings"), entered into a Purchase Agreement (the "Purchase Agreement") with Coliseum Reinsurance Company ("Coliseum") relating to the purchase and sale of all of the AB Capital Units owned by Coliseum. Pursuant to the Purchase Agreement, Equitable Holdings purchased from Coliseum 8,160,000 AB Capital Units owned by Coliseum at a purchase price of $26.54 per AB Capital Unit.

F3 · ownership.direct: AXA indirectly owns 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-IM Holding U.S. Inc. (AXA-IM Holding"). 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, 2017, 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 23.97% 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 8,160,000 AB Capital Units and beneficially owns indirectly 43,032,758 AB Capital Units beneficially owned directly by AXF, 74,406,933 AB Capital Units beneficially owned directly by ACMC, 2,587,472 AB Capital Units beneficially owned directly by MLOA and 41,934,582 AB Capital Units beneficially owned directly by AXA-IM Holding.

F6 · ownership.direct: In addition to the AB Capital Units reported in this Form 4, the Reporting Person and its affiliates beneficially own units of limited partnership interests ("Holding Units") in AllianceBernstein Holding L.P. ("Holding") as follows. As of April 23, 2018, Equitable Holdings beneficially owned directly 2,312,163 Holding Units, ACMC beneficially owned directly 1,444,356 Holding 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 Holding Units, see their separate Form 4 filings with respect to Holding Units.

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: 0001209191-17-051012 · doc4.xml · nonDerivative · entry 1

AXA AMERICA HOLDINGS, INC. · CIK 0001333986 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,071,180

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 America Holdings, Inc. ("AXA America") 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, AXA America agreed to purchase from Mr. Kraus, and Mr. Kraus agreed to sell to AXA America, on September 1, 2017, the Holding Units owned by Mr. Kraus as of the close of business on April 28, 2017 at a purchase price of $22.90 per Holding Unit (not including restricted Holding Units to be delivered at specified future dates to Mr. Kraus in accordance with the terms of his employment agreement or with respect to which he has deferred delivery).

F3 · ownership.direct: AXA indirectly owns (i) all of the common stock of AXA America Holdings, Inc., 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) 97.31% 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: AXA America beneficially owns directly 1,071,180 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 September 1, 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.