Current Report Filing (8-k)
December 11 2014 - 04:06PM
Edgar (US Regulatory)
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):
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December 10, 2014
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AllianceBernstein Holding l.p.
(Exact name of registrant as specified in its charter)
Delaware
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001-09818
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13-3434400
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(State or other jurisdiction of incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer Identification Number)
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1345 Avenue of the Americas, New York, New York
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10105
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including area code:
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212-969-1000
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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. (“AllianceBernstein”) and AllianceBernstein Holding L.P. are furnishing their news release (“AUM Release”) issued on December 10, 2014 announcing AllianceBernstein’s preliminary assets under management as of November 30, 2014. The AUM Release is attached hereto as Exhibit 99.01.
Item 9.01. |
Financial Statements and Exhibits. |
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.
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AllianceBernstein Holding l.p.
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Dated: December 11, 2014
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By:
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/s/ Mona Bhalla
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Mona Bhalla
Corporate Secretary
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Exhibit 99.01
Andrea Prochniak, Investors
212.756.4542
Andrea.Prochniak@alliancebernstein.com
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Jonathan Freedman, Media
212.823.2687
Jonathan.Freedman@alliancebernstein.com
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AllianceBernstein Announces November 30, 2014 Assets Under Management
New York, NY, December 10, 2014 – AllianceBernstein L.P. and AllianceBernstein Holding L.P. (NYSE: AB) today announced that preliminary assets under management increased to $481 billion during November 2014 from $477 billion at the end of October. The 0.8% increase was due to market appreciation and total firmwide net inflows during the month. By channel, net flows were positive for Institutions, flat for Private Client and negative for Retail.
AllianceBernstein L.P. (The Operating Partnership)
Assets Under Management ($ in Billions)
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At November 30, 2014
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At Oct 31
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2014
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Institutions
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Retail
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Private
Client
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Total
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Total
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Equity
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Actively Managed
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$
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30
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$
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46
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$
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38
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$
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114
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$
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113
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Passive
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23
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28
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1
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52
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51
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Total Equity
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53
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74
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39
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166
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164
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Fixed Income
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Taxable
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150
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63
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10
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223
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222
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Tax-Exempt
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2
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10
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20
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32
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31
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Passive
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0
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10
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0
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10
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10
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Total Fixed Income
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152
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83
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30
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265
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263
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Other(1)
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36
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7
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7
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50
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50
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Total
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$
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241
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$
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164
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$
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76
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$
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481
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$
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477
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At October 31, 2014
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Total
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$
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238
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$
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164
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$
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75
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$
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477
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(1) Includes multi-asset services and solutions, and certain alternative investments
www.alliancebernstein.com
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1 of 2
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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, 2013 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, 2014, AllianceBernstein Holding L.P. owned approximately 36.1% of the issued and outstanding AllianceBernstein Units and AXA, one of the largest global financial services organizations, owned an approximate 63.5% economic interest in AllianceBernstein.
Additional information about AllianceBernstein may be found on our website, www.alliancebernstein.com.
www.alliancebernstein.com
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