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Form 8-K ALLIANCEBERNSTEIN HOLDIN For: May 12

May 13, 2015 4:05 PM EDT


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):
May 12, 2015

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:

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

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

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

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. (“AB”) and AllianceBernstein Holding L.P. are furnishing their news release (“AUM Release”) issued on May 12, 2015 announcing AB’s preliminary assets under management as of April 30, 2015.  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:  May 13, 2015
By:
/s/ Mona Bhalla
   
Mona Bhalla
Corporate Secretary

 
 


Exhibit 99.01
 
Andrea Prochniak, Investors
212.756.4542
[email protected]
    
Jonathan Freedman, Media
212.823.2687
[email protected]
 
AB Announces April 30, 2015 Assets Under Management
 
New York, NY, May 12, 2015 – AllianceBernstein L.P. (“AB”) and AllianceBernstein Holding L.P. (“AB Holding”) (NYSE: AB) today announced that preliminary assets under management increased to $499 billion during April 2015 from $486 billion at the end of March. The 2.7% increase was the result of total firmwide net inflows and market appreciation, including the positive impact of FX movements. By channel, net flows were positive in Institutions and negative in Retail and Private Wealth. The previously disclosed $10 billion Customized Retirement Strategies (CRS) mandate funded in April.

AB (The Operating Partnership)
 
Assets Under Management ($ in Billions)
 
        
       At April 30, 2015    
At Mar 31
2015
 
   
Institutions
   
Retail
   
Private
Wealth
   
Total
   
Total
 
                     
Equity
                   
Actively Managed
 
$
30
   
$
47
   
$
40
   
$
117
   
$
115
 
Passive
   
23
     
28
     
0
     
51
     
51
 
Total Equity
   
53
     
75
     
40
     
168
     
166
 
                                         
Fixed Income
                                       
Taxable
   
154
     
62
     
10
     
226
     
225
 
Tax-Exempt
   
2
     
11
     
20
     
33
     
33
 
Passive
   
0
     
9
     
1
     
10
     
10
 
Total Fixed Income
   
156
     
82
     
31
     
269
     
268
 
                                         
Other(1)
   
47
     
8
     
7
     
62
     
52
 
Total
 
$
256
   
$
165
   
$
78
   
$
499
   
$
486
 
 
                                         
    
   
At March 31, 2015
         
                                         
Total
 
$
244
   
$
164
   
$
78
   
$
486
         
 
(1) Includes multi-asset services and solutions and certain alternative investments.
 
www.abglobal.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. AB cautions readers to carefully consider such factors.  Further, such forward-looking statements speak only as of the date on which such statements are made; AB 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 AB’s Form 10-K for the year ended December 31, 2014 and Form 10-Q for the quarter ended March 31, 2015. Any or all of the forward-looking statements made in this news release, Form 10-K, Forms 10-Q, other documents AB files with or furnishes to the SEC and any other public statements issued by AB, 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 AB’s financial condition, results of operations and business prospects.
 
About AB
 
AB is a leading global investment management firm that offers high-quality research and diversified investment services to institutional investors, individuals and private wealth clients in major world markets.
 
At March 31, 2015, AB Holding owned approximately 36.8% of the issued and outstanding AB Units and AXA, one of the largest global financial services organizations, owned an approximate 62.7% economic interest in AB.
 
Additional information about AB may be found on our website,  www.abglobal.com.
 
www.abglobal.com
 
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