Hicks Weston M

SEC source: 0000776867-26-000043 · form4.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,936

F1 · shares: Annual Chairman Share Award

SEC source: 0001062993-25-010300 · form4.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,746

F1 · shares: Annual Chairman Share Award

SEC source: 0001062993-24-011184 · form4.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,536

F1 · shares: Annual Chairman Share Award

SEC source: 0001062993-23-021200 · form4a.xml · nonDerivative · entry 5

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,306

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1484.28 to $1485.00, inclusive.

SEC source: 0001062993-23-021200 · form4a.xml · nonDerivative · entry 4

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,068

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1483.13 to $1483.78, inclusive.

SEC source: 0001062993-23-021200 · form4a.xml · nonDerivative · entry 3

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,057

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1479.35 to $1480.01, inclusive.

SEC source: 0001062993-23-021200 · form4a.xml · nonDerivative · entry 2

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,478

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1476.55 to $1476.92, inclusive.

SEC source: 0001062993-23-021200 · form4a.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,358

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1475.51 to $1476.32, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares transacted at each separate price within the ranges set forth in footnotes (1) to (5) of this Form 4.

SEC source: 0001062993-23-021174 · form4.xml · nonDerivative · entry 5

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,306

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1484.28 to $1485.00, inclusive.

SEC source: 0001062993-23-021174 · form4.xml · nonDerivative · entry 4

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,068

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1483.13 to $1483.78, inclusive.

SEC source: 0001062993-23-021174 · form4.xml · nonDerivative · entry 3

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,057

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1479.35 to $1480.01, inclusive.

SEC source: 0001062993-23-021174 · form4.xml · nonDerivative · entry 2

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,478

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1476.55 to $1476.92, inclusive.

SEC source: 0001062993-23-021174 · form4.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,358

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1475.51 to $1476.32, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) to (5) of this Form 4.

SEC source: 0001062993-23-012318 · form4.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,306

F1 · shares: Annual Chairman Share Award.

SEC source: 0001062993-23-004485 · form4.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,056

F1 · shares: Pro-rated annual director share award.

SEC source: 0000921895-22-000036 · form408622hic_01032022.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Former CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,009.3786

Underlying: Common Stock · 65.385 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000921895-21-002343 · form408622036hic_10012021.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,943.9936

Underlying: Common Stock · 69.5055 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-21-000038 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,874.4881

Underlying: Common Stock · 65.8304 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-21-000019 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,808.6576

Underlying: Common Stock · 68.7371 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · balance_after: This value reflects an adjustment to the number of phantom stock units reported as acquired on January 4, 2021 in the reporting person's Form 4 filed January 5, 2021 based on the finalization of the registrant's financial results from Q4 2020.

SEC source: 0000775368-21-000017 · edgar.xml · nonDerivative · entry 2

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,777

F1 · kind: Settlement of 6,433 performance shares for $4,168,284.50 in cash, of which $ 2,218,361.01 represents withholding for tax obligations in connection with such settlement.

SEC source: 0000775368-21-000017 · edgar.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,210

F1 · kind: Settlement of 6,433 performance shares for $4,168,284.50 in cash, of which $ 2,218,361.01 represents withholding for tax obligations in connection with such settlement.

SEC source: 0000775368-21-000005 · edgar.xml · derivative · entry 5

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,692.6444

Underlying: Common Stock · 6,561.6576 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · kind: Pursuant to a prior election by the reporting person under a multi fund deferred compensation plan, the reporting person transferred the value of $3,951,102 of his account balance into the form of phantom stock units. This value is based on the registrants best estimate and may be subject to adjustment following the finalization of the registrants financial results from Q4 2020.

F2 · shares: Pursuant to a prior election by the reporting person under a multi fund deferred compensation plan, the reporting person transferred the value of $3,951,102 of his account balance into the form of phantom stock units. This value is based on the registrants best estimate and may be subject to adjustment following the finalization of the registrants financial results from Q4 2020.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · derivative.underlying_shares: Pursuant to a prior election by the reporting person under a multi fund deferred compensation plan, the reporting person transferred the value of $3,951,102 of his account balance into the form of phantom stock units. This value is based on the registrants best estimate and may be subject to adjustment following the finalization of the registrants financial results from Q4 2020.

SEC source: 0000775368-21-000005 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,130.9868

Underlying: Common Stock · 70.0597 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-20-000055 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060.9271

Underlying: Common Stock · 80.9725 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000921895-20-001908 · form408622007wes_07022020.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 979.9546

Underlying: Common Stock · 86.1215 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-20-000040 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893.8331

Underlying: Common Stock · 75.541 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · balance_after: Pursuant to the applicable agreement between the registrant and the reporting person, when the registrant pays a cash dividend on its common stock, the reporting person is credited with a corresponding dividend on his phantom stock units in the form of additional phantom stock units. As a result, this reflects 22.2398 phantom stock units received as dividends in connection with a special cash dividend of $15.00 per share of common stock paid on March 16, 2020.

SEC source: 0000775368-20-000031 · edgar.xml · nonDerivative · entry 2

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,777

F1 · kind: Settlement of 7,766 performance shares for $6,050,467.35 in cash, of which $3,220,058.72 represents withholding for tax obligations in connection with such settlement.

SEC source: 0000775368-20-000031 · edgar.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,543

F1 · kind: Settlement of 7,766 performance shares for $6,050,467.35 in cash, of which $3,220,058.72 represents withholding for tax obligations in connection with such settlement.

SEC source: 0000775368-20-000003 · edgar.xml · derivative · entry 5

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 796.0523

Underlying: Common Stock · 220.5035 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · kind: The reporting person transferred the value of 220.5035 phantom stock units held under a multi-fund compensation plan into an account linked to the registrant's book value per share.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-20-000003 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,016.5558

Underlying: Common Stock · 49.0608 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-19-000062 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 967.495

Underlying: Common Stock · 49.4792 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-19-000053 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918.0158

Underlying: Common Stock · 56.6335 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-19-000027 · edgar.xml · derivative · entry 5

Hicks Weston M · CIK 0001186549 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 861.3822

Underlying: Common Stock · 65.3299 shares

Expires not disclosed

F3 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F3 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F3 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-19-000027 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,023

Underlying: Common Stock · 2,023 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of the registrant's common stock or a payment in cash in respect of such restricted stock unit in an amount equal to the fair market value of one share of the registrant's common stock on the applicable vesting date.

F2 · derivative.exercise_date: Each restricted stock unit will vest on the four-year anniversary of the date of grant, subject to the reporting person being employed by the registrant on such date.

F2 · derivative.expiration_date: Each restricted stock unit will vest on the four-year anniversary of the date of grant, subject to the reporting person being employed by the registrant on such date.

SEC source: 0000775368-19-000003 · edgar.xml · derivative · entry 5

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 796.0523

Underlying: Common Stock · 257.634 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · kind: The Reporting Person transferred the value of 257.634 phantom stock units held under a multi-fund compensation plan into an account linked to the registrant's book value per share.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-19-000003 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,053.6862

Underlying: Common Stock · 60.799 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000921895-18-002692 · form408622007hic_10022018.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 992.8876

Underlying: Common Stock · 58.1084 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-18-000050 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 934.7792

Underlying: Common Stock · 64.8465 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · balance_after: Total ownership reflects an immaterial correction to the amount previously reported.

SEC source: 0000921895-18-001179 · form408622007hic_04032018.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 873.9223

Underlying: Common Stock · 61.1227 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · balance_after: Includes 16.7473 phantom stock units acquired by the reporting person as dividend equivalents under the registrant's savings benefit plan subsequent to the date of the reporting person's most recent filing on Form 4.

SEC source: 0000775368-18-000024 · edgar.xml · nonDerivative · entry 2

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,777

F1 · kind: Settlement of 12,317 performance shares for $7,476,049.49 in cash, of which $3,978,753.54 represents withholding for tax obligations in connection with such settlement.

SEC source: 0000775368-18-000024 · edgar.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,094

F1 · kind: Settlement of 12,317 performance shares for $7,476,049.49 in cash, of which $3,978,753.54 represents withholding for tax obligations in connection with such settlement.

SEC source: 0000775368-18-000003 · edgar.xml · derivative · entry 5

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 796.0523

Underlying: Common Stock · 248.8957 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F2 · kind: The reporting person transferred the value of 248.8957 phantom stock units held under a multi-fund compensation plan into an account linked to the registrant's book value per share.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-18-000003 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,044.948

Underlying: Common Stock · 61.5116 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-17-000051 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 983.4364

Underlying: Common Stock · 66.4262 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0001186549-17-000003 · wf-form4_150582081193523.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,842

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

SEC source: 0001186549-17-000005 · wf-form4a_150593763355936.xml · nonDerivative · entry 1

Hicks Weston M · CIK 0001186549 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

F2 · balance_after: This amended form is being filed to correct an error in Reporting Person's original form: Reporting Person owned 0 AB Holding Units following his reported transaction, not 10,842 AB Holding Units.

SEC source: 0000921895-17-001873 · form408622007a_07052017.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 917.0102

Underlying: Common Stock · 61.6867 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-17-000020 · edgar.xml · derivative · entry 4

Hicks Weston M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 855.3235

Underlying: Common Stock · 59.2713 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.exercise_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

F1 · derivative.expiration_date: Each phantom stock unit is the economic equivalent of one share of the registrant's common stock. Phantom stock units are payable in cash on the date elected by the reporting person.

SEC source: 0000775368-17-000012 · edgar.xml · nonDerivative · entry 2

HICKS WESTON M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,777

F1 · kind: Settlement of 14,608 performance shares for $9,462,478.08 in cash, of which $5,281,955.27 represents withholding for tax obligations in connection with such settlement.

SEC source: 0000775368-17-000012 · edgar.xml · nonDerivative · entry 1

HICKS WESTON M · CIK 0001186549 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,385

F1 · kind: Settlement of 14,608 performance shares for $9,462,478.08 in cash, of which $5,281,955.27 represents withholding for tax obligations in connection with such settlement.

F2 · balance_after: Total ownership reflects an immaterial correction to the amount previously reported.