ALLIANCEBERNSTEIN HOLDING L.P. 10-Q

Item 2. Unregistered Sales of Equity Securities and Use of Proceeds There were no AB Holding Units sold by AB Holding in the period covered by this report that were not registered under the Securities Act. Each quarter, since the third quarter of 2011, AB has implemented plans to repurchase AB Holding Units pursuant to Rules 10b5-1 and 10b-18 under the Exchange Act. The plan adopted during the second quarter of 2021 expired at the close of business on July 28, 2021. AB may adopt additional plans in the future to engage in open-market purchases of AB Holding Units to help fund anticipated obligations under the firm's incentive compensation award program and for other corporate purposes. See Note 3 to the condensed financial statements contained in Part 1, Item 1. AB Holding Units bought by us or one of our affiliates during the second quarter of 2021 are as follows: ISSUER PURCHASES OF EQUITY SECURITIES Period Total Number of AB Holding Units Purchased Average Price Paid Per AB Holding Unit, net of Commissions Total Number of AB Holding Units Purchased as Part of Publicly Announced Plans or Programs Maximum Number (or Approximate Dollar Value) of AB Holding Units that May Yet Be Purchased Under the Plans or Programs 4/1/21 - 4/30/21 (1)(2) 135,814 $ 40.90 — — 5/1/21 - 5/31/21 (1)(2) 565,342 43.77 — — 6/1/21 - 6/30/21 (2) 177,679 44.59 — — Total 878,835 $ 43.49 — — (1) During the second quarter of 2021, AB purchased from employees 84,619 AB Holding Units to allow them to fulfill statutory withholding tax requirements at the time of distribution of long-term incentive compensation awards. (2) During the second quarter of 2021, AB purchased 794,216 AB Holding Units on the open market pursuant to a Rule 10b5-1 plan to help fund anticipated obligations under our incentive compensation award program. Item 3. Defaults Upon Senior Securities None. Item 4. Mine Safety Disclosures None.