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): October 22, 2021
ALLIANCEBERNSTEIN L.P.
(Exact name of registrant as specified in its charter)
| | | | | | | | |
| Delaware | 000-29961 | 13-4064930 |
(State or other jurisdiction of
incorporation or organization) | (Commission File Number) | (I.R.S. Employer Identification Number) |
501 Commerce Street, Nashville, TN 37023
(Address of principal executive offices)
(Zip Code)
(212) 969-1000
(Registrant’s telephone number, including area code)
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))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Securities registered pursuant to Section 12(g) of the Act:
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| Title of Each Class | | Trading Symbol | | Name of Each Exchange on Which Registered |
| Units of limited partnership interest in AllianceBernstein L.P. | | None | | None |
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(b)(d) Effective October 22, 2021, Joan Lamm-Tennant succeeds Ramon de Oliveira, who served as Chair of the Boards of Directors of Equitable Holdings, Inc. (“Equitable”) and AllianceBernstein Corporation, general partner of AllianceBernstein L.P. and AllianceBernstein Holding L.P. (collectively, the “Company”), since March 2019 when Equitable became an independent company, during which time the Company delivered significant shareholder and unitholder value in a challenging environment. Ms. Lamm-Tennant, who joined the Equitable Board in January 2020, brings to the Company significant industry, risk management and capital advisory expertise, having held several global business leadership roles.
Ms. Lamm-Tennant also will serve as Chair and member of the Executive Committee of the AllianceBernstein Board.
Mr. de Oliveira resigned after agreeing with the Company that he engaged in communications that were inconsistent with the Company’s standards. Mr. de Oliveira’s departure is unrelated to the Company’s operations, financial integrity or controls.
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 L.P. |
| Dated: October 22, 2021 | | By: |
/s/ David Lesser |
| | | David Lesser
Corporate Secretary |
