Lisa A Shalett

Insider

First SEC filing: Jan. 8, 2009 · Latest: Jan. 8, 2009

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.

Insider at

AB selling June 9, 2006

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 26 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

26 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Dec. 7, 2009	AB	A	94,650	$26.73	$2,529,994	129,365 Indirect	+272.65%	Acquired	35.5% (price as of 2026-08-21)
Jan. 23, 2009	AB	A	29,326	$17.05	$500,008	45,833 Indirect	+177.66%	Acquired	112.4% (price as of 2026-08-21)
Jan. 23, 2009	AB	A	142,451	—	—	142,451 Direct	—	Acquired	(price as of 2026-08-21)
Dec. 19, 2008	AB	J	8,160,000	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)
Dec. 19, 2008	1109448	J	8,160,000	$18.35	$149,736,000	0 Indirect	-100.00%	Disposed
Dec. 19, 2008	AB	J	8,160,000	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)
Dec. 19, 2008	1109448	J	8,160,000	—	—	0 Indirect	-100.00%	Disposed
Jan. 25, 2008	AB	A	13,403	$63.42	$850,018	76,548 Direct	+21.23%	Acquired	-42.9% (price as of 2026-08-21)
Feb. 8, 2007	1109448	J	8,160,000	$91.38	$745,660,800	8,160,000 Indirect	-50.00%	Disposed
Feb. 8, 2007	AB	A	3,089	$90.65	$280,018	62,796 Direct	+5.17%	Acquired	-60.1% (price as of 2026-08-21)
Feb. 8, 2007	AB	J	8,160,000	$91.38	$745,660,800	8,160,000 Indirect	-50.00%	Disposed	-60.4% (price as of 2026-08-21)
Feb. 8, 2007	AB	A	3,089	$90.09	$278,288	62,796 Direct	+5.17%	Acquired	-59.8% (price as of 2026-08-21)
Feb. 8, 2007	AB	J	8,160,000	—	—	8,160,000 Indirect	-50.00%	Disposed	(price as of 2026-08-21)
Feb. 8, 2007	1109448	J	8,160,000	—	—	8,160,000 Indirect	-50.00%	Disposed
June 9, 2006	AB	S	5,600	$63.22	$354,032	59,707 Direct	-8.57%	Disposed	-42.7% (price as of 2026-08-21)
March 14, 2006	AB	S	2,000	$64.06	$128,120	61,184 Direct	-3.17%	Disposed	-43.5% (price as of 2026-08-21)
Feb. 3, 2006	AB	A	4,072	$56.49	$230,027	65,307 Direct	+6.65%	Acquired	-35.9% (price as of 2026-08-21)
Jan. 31, 2006	AB	F	11,515	$60.44	$695,967	63,118 Direct	-15.43%	Disposed	-40.1% (price as of 2026-08-21)
Jan. 31, 2005	AB	F	2,814	$44.99	$126,602	46,911 Indirect	-5.66%	Disposed	-19.5% (price as of 2026-08-21)
Dec. 7, 2004	AB	J	8,160,000	$40.08	$327,052,800	16,320,000 Indirect	-33.33%	Disposed	-9.7% (price as of 2026-08-21)
Dec. 7, 2004	1109448	J	8,160,000	$40.08	$327,052,800	16,320,000 Indirect	-33.33%	Disposed
Dec. 7, 2004	AB	J	8,160,000	—	—	16,320,000 Indirect	-33.33%	Disposed	(price as of 2026-08-21)
Dec. 7, 2004	1109448	J	8,160,000	—	—	16,320,000 Indirect	-33.33%	Disposed
Nov. 11, 2004	AB	S	374	$38.96	$14,571	5,373 Direct	-6.51%	Disposed	-7.1% (price as of 2026-08-21)
Nov. 11, 2004	AB	S	1,200	$38.94	$46,728	4,173 Direct	-22.33%	Disposed	-7.0% (price as of 2026-08-21)
Oct. 4, 2004	AB	F	0	$35.80	—	5,747 Direct	0.00%	Disposed	1.1% (price as of 2026-08-21)
Feb. 26, 2004	AB	S	2,600	$37.05	$96,330	1,574 Direct	-62.29%	Disposed	-2.3% (price as of 2026-08-21)
Feb. 20, 2004	AB	J	5,735	$37.83	$216,955	34,065 Indirect	-14.41%	Disposed	-4.3% (price as of 2026-08-21)
Feb. 20, 2004	1109448	J	5,735	$37.83	$216,955	34,065 Indirect	-14.41%	Disposed
Feb. 20, 2004	AB	J	5,735	—	—	34,065 Indirect	-14.41%	Disposed	(price as of 2026-08-21)
Feb. 20, 2004	1109448	J	5,735	—	—	34,065 Indirect	-14.41%	Disposed

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Jan. 23, 2009	AB	Holding Unit option (right to buy)	Holding Units [F1] (142,451)	$17.05	Jan. 23, 2019	142,451	Acquired
Dec. 19, 2008	AB	Units [F4]	Holding Units [F1]	—	—	8,160,000	Disposed
Dec. 19, 2008	AB	Units [F4]	Holding Units [F1]	—	—	8,160,000	Disposed
Feb. 8, 2007	AB	Units	Holding Units (8,160,000)	—	—	8,160,000	Disposed
Feb. 8, 2007	AB	Units	Holding Units (8,160,000)	—	—	8,160,000	Disposed
Dec. 7, 2004	AB	Units of L.P. Interest in Alliance Capital Management L.P.	Units rep. assign. of beneficial ownership of l.p. interests (8,160,000)	—	—	8,160,000	Disposed
Dec. 7, 2004	AB	Units of L.P. Interest in Alliance Capital Management L.P.	Units rep. assign. of beneficial ownership of l.p. interests (8,160,000)	—	—	8,160,000	Disposed
Feb. 20, 2004	AB	Notional Interests in Alliance Capital Management L.P.	Units rep. assign. of beneficial ownership of l.p. interests (5,735)	—	—	5,735	Disposed
Feb. 20, 2004	1109448	Notional interests in Alliance Capital Management L.P.	Units of limited partnership interest in ACMLP (5,735)	—	—	5,735	Disposed
Feb. 20, 2004	AB	Notional Interests in Alliance Capital Management L.P.	Units rep. assign. of beneficial ownership of l.p. interests (5,735)	—	—	5,735	Disposed
Feb. 20, 2004	1109448	Notional interests in Alliance Capital Management L.P.	Units of limited partnership interest in ACMLP (5,735)	—	—	5,735	Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).