0001140361-13-045636.txt : 20131211 0001140361-13-045636.hdr.sgml : 20131211 20131211160702 ACCESSION NUMBER: 0001140361-13-045636 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20131210 ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20131211 DATE AS OF CHANGE: 20131211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN HOLDING L.P. CENTRAL INDEX KEY: 0000825313 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133434400 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 131271053 BUSINESS ADDRESS: STREET 1: 1345 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2129691000 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE CAPITAL MANAGEMENT HOLDING LP DATE OF NAME CHANGE: 19991101 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE CAPITAL MANAGEMENT LP DATE OF NAME CHANGE: 19961231 8-K 1 form8k.htm ALLIANCEBERNSTEIN HOLDING L.P. 8-K 12-10-2013

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):
December 10, 2013

AllianceBernstein Holding l.p.
(Exact name of registrant as specified in its charter)

Delaware
001-09818
13-3434400
(State or other jurisdiction of incorporation or organization)
(Commission File Number)
(I.R.S. Employer Identification Number)

1345 Avenue of the Americas, New York, New York
10105
(Address of principal executive offices)
(Zip Code)

Registrant’s telephone number, including area code:
212-969-1000

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 


Item 7.01. Regulation FD Disclosure.

AllianceBernstein L.P. (“AllianceBernstein”) and AllianceBernstein Holding L.P. are furnishing a news release (“AUM Release”) issued on December 10, 2013 announcing AllianceBernstein’s preliminary assets under management as of November 30, 2013. The AUM Release is attached hereto as Exhibit 99.01.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

99.01 AUM Release.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 
AllianceBernstein Holding l.p.
 
 
Dated: December 11, 2013
By:
/s/ Mona Bhalla
 
 
Mona Bhalla
Corporate Secretary

 

EX-99.01 2 ex99_01.htm EXHIBIT 99.01

EXHIBIT 99.01
 
News Release
 
Andrea Prochniak, Investors
212.756.4542
Andrea.Prochniak@alliancebernstein.com
 
 
Jonathan Freedman, Media
212.823.2687
Jonathan.Freedman@alliancebernstein.com

AllianceBernstein Announces November 30, 2013 Assets Under Management
 
New York, NY, December 10, 2013 – AllianceBernstein L.P. and AllianceBernstein Holding L.P. (NYSE: AB) today announced that preliminary assets under management increased to $447 billion during November 2013 from $446 billion at the end of October. The increase was driven by market appreciation, which more than offset modest firmwide net outflows. While net flows to the Institutions channel were positive for the month, they were negative in both Retail and Private Client.

AllianceBernstein L.P. (The Operating Partnership)
Assets Under Management ($ in Billions)

 
 
At November 30, 2013
   
At Oct 31
 
 
 
   
2013
 
 
 
   
   
   
   
 
 
 
   
   
Private
   
   
 
 
 
Institutions
   
Retail
   
Client
   
Total
   
Total
 
 
 
   
   
   
   
 
Equity
 
   
   
   
   
 
Actively Managed
 
$
29
   
$
40
   
$
35
   
$
104
   
$
102
 
Passive
   
21
     
28
     
1
     
50
     
48
 
Total Equity
   
50
     
68
     
36
     
154
     
150
 
 
                                       
Fixed Income
                                       
Taxable
   
141
     
62
     
10
     
213
     
215
 
Tax-Exempt
   
2
     
8
     
19
     
29
     
30
 
Passive
   
0
     
9
     
0
     
9
     
9
 
Total Fixed Income
   
143
     
79
     
29
     
251
     
254
 
 
                                       
Other(1)
   
32
     
5
     
5
     
42
     
42
 
Total
 
$
225
   
$
152
   
$
70
   
$
447
   
$
446
 
 
                                       
 
                                       
 
 
At October 31, 2013
         
 
                                       
Total
 
$
224
   
$
153
   
$
69
   
$
446
         

(1) Includes Asset Allocation services and alternative investments.

www.alliancebernstein.com
1 of 2

Cautions Regarding Forward-Looking Statements

Certain statements provided by management in this news release are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. Such forward-looking statements are subject to risks, uncertainties, and other factors that could cause actual results to differ materially from future results expressed or implied by such forward-looking statements. The most significant of these factors include, but are not limited to, the following: the performance of financial markets, the investment performance of sponsored investment products and separately-managed accounts, general economic conditions, industry trends, future acquisitions, competitive conditions, and current and proposed government regulations, including changes in tax regulations and rates and the manner in which the earnings of publicly-traded partnerships are taxed. AllianceBernstein cautions readers to carefully consider such factors. Further, such forward-looking statements speak only as of the date on which such statements are made; AllianceBernstein undertakes no obligation to update any forward-looking statements to reflect events or circumstances after the date of such statements. For further information regarding these forward-looking statements and the factors that could cause actual results to differ, see “Risk Factors” and “Cautions Regarding Forward-Looking Statements” in AllianceBernstein’s Form 10-K for the year ended December 31, 2012 and subsequent Forms 10-Q. Any or all of the forward-looking statements made in this news release, Form 10-K, Forms 10-Q, other documents AllianceBernstein files with or furnishes to the SEC and any other public statements issued by AllianceBernstein, may turn out to be wrong. It is important to remember that other factors besides those listed in “Risk Factors” and “Cautions Regarding Forward-Looking Statements”, and those listed above, could also adversely affect AllianceBernstein’s financial condition, results of operations and business prospects.

About AllianceBernstein

AllianceBernstein is a leading global investment management firm that offers high-quality research and diversified investment services to institutional investors, individuals and private clients in major world markets.

At September 30, 2013, AllianceBernstein Holding L.P. owned approximately 34.8% of the issued and outstanding AllianceBernstein Units and AXA, one of the largest global financial services organizations, owned an approximate 64.6% economic interest in AllianceBernstein.

Additional information about AllianceBernstein may be found on our website, www.alliancebernstein.com.

www.alliancebernstein.com
2 of 2



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