Document:

Exhibit 10.2

 

AWARD AGREEMENT

 

UNDER THE AMENDED AND RESTATED

ALLIANCE PARTNERS COMPENSATION PLAN

 

You have been granted an award under the
Amended and Restated Alliance Partners Compensation Plan (the “Plan”), as
specified below:

 

	
  Participant:

  	
   

  	
  «Name»

  
	
   

  	
   

  	
   

  
	
  Amount of
  Award:

  	
   

  	
  «Award_Amount_Total»

  
	
   

  	
   

  	
   

  
	
  Date of
  Grant:

  	
   

  	
  «Award_Date»

  

 

In connection with your award (the “Award”),
you, Alliance Capital Management Holding L.P.(“Holding”) and Alliance Capital
Management L.P. (“Alliance”) agree as set forth in this agreement (the
“Agreement”). The Plan provides a description of the terms and conditions
governing the Award. If there is any inconsistency between the terms of this
Agreement and the terms of the Plan, the Plan’s terms completely supersede and
replace the conflicting terms of this Agreement. All capitalized terms have the
meanings given them in the Plan, unless specifically stated otherwise in the
Agreement.

 

You will be asked to make an election with
respect to the investment of your Award as described in Section 3(b) of the
Plan. Once you have made this election in accordance with the terms of the Plan
and the election form, your Award will be treated as invested in either
restricted Units of Holding, or in one or more designated money-market, debt or
equity fund sponsored by Alliance or its Affiliate in accordance with the terms
of the Plan applicable to Post-2000 Awards.

 

It is expressly understood that the Committee
is authorized to administer, construe, and make all determinations necessary or
appropriate to the administration of the Plan and this Agreement, all of which
shall be binding upon you. The Committee is under no obligation to treat you or
your award consistently with the treatment provided for other participants in
the Plan.

 

This Agreement does not confer upon you any
right to continuation of employment by a Company, nor does this Agreement
interfere in any way with a Company’s right to terminate your employment at any
time.

 

This Agreement will be subject to all
applicable laws, rules, and regulations, and to such approvals by any
governmental agencies or national securities exchanges as may be required.

 

 

This Agreement will be governed by, and
construed in accordance with, the laws of the state of New York (without regard
to conflict of law provisions).

 

This Agreement and the Plan constitute the
entire understanding between you and the Companies regarding this award. Any
prior agreements, commitments or negotiations concerning this award are
superseded. This Agreement may be amended only by another written agreement,
signed by both parties.

 

BY SIGNING BELOW, YOU AGREE TO ALL OF THE
TERMS AND CONDITIONS DESCRIBED ABOVE AND IN THE PLAN.

 

IN WITNESS WHEREOF, the parties hereto have
caused this Agreement to be executed effective as of                      .

 

 

	
   

  	
  Alliance Capital Management L.P.

  
	
   

  	
  By:  Alliance
  Capital Management Corporation,

  General Partner

  
	
   

  	
   

  
	
   

  	
  /s/ Robert H. Joseph, Jr.

  	
   

  
	
   

  	
  Robert H. Joseph, Jr.

  
	
   

  	
   

  
	
   

  	
  Participant

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  Signature

  
	
   

  	
   

  
	
   

  	
  «Name»Exhibit 10.3

AWARD
AGREEMENT

 

UNDER THE
ALLIANCE

COMMISSION
SUBSTITUTION PLAN

 

You have been granted an Award under the
Alliance Commission Substitution Plan (the “Plan”), as specified below:

 

Participant (“you”):

 

Projected Amount of Award:

 

Date of Grant:

 

In connection with your grant of the Award,
you and the Company agree as set forth in this agreement (the “Agreement”).  The Plan provides a description of the terms
and conditions governing the Award.  If
there is any inconsistency between the terms of this Agreement and the terms of
the Plan, the Plan’s terms completely supersede and replace the conflicting
terms of this Agreement.  All capitalized
terms have the meanings given them in the Plan, unless specifically stated
otherwise in this Agreement.

 

It is expressly understood that the Committee
is authorized to administer, construe, and make all determinations necessary or
appropriate to the administration of the Plan and this Agreement, all of which
shall be binding upon you.  The Committee
is under no obligation to treat you or your Award consistently with the
treatment provided for other participants in the Plan. It is further expressly
understood and agreed by you that:

 

(a)                                  This Agreement does
not confer upon you any right to continuation of employment by a Company, nor
does this Agreement interfere in any way with a Company’s right to terminate
your employment at any time.

 

(b)                                 This Agreement will be
subject to all applicable laws, rules, and regulations.

 

(c)                                  This Agreement will
be governed by, and construed in accordance with, the laws of the state of New
York (without regard to conflict of law provisions).

 

(d)                                 This Agreement and the
Plan constitute the entire understanding between you and the Company regarding
this Award.  Any prior agreements,
commitments or negotiations concerning this Award are superseded.

 

1

 

This Agreement may be amended only by another written agreement, signed
by both parties.

 

BY SIGNING BELOW, YOU AGREE TO ALL OF THE
TERMS AND CONDITIONS DESCRIBED ABOVE AND IN THE PLAN.

 

IN WITNESS WHEREOF, the parties hereto have
caused this Agreement to be executed effective as of  .

 

	
   

  	
  Alliance Capital Management L.P.

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
  

  	
   

  
	
   

  	
  Name: Robert H Joseph, Jr.

  
	
   

  	
  Title: CFO, Senior Vice President

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  Participant

  
	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  Name:

  
					

 

2Exhibit 10.4

 

ALLIANCE CAPITAL MANAGEMENT L.P.

FINANCIAL ADVISOR WEALTH ACCUMULATION PLAN

 

INCENTIVE AWARD AGREEMENT

 

THIS
AGREEMENT, made as of the           
day of                         ,
20   , by and between Alliance Capital Management L.P., and Alliance
Capital Management Holding L.P., both Delaware limited partnerships
(collectively, the “Company”), and                          
(the “Participant”).

 

Preliminary Statement

 

The Board of
Directors of Alliance Capital Management Corporation, the general partner of
the Company, has authorized this Incentive Award. Unless otherwise indicated,
any capitalized term used but not defined herein shall have the meaning
ascribed to such term in the Plan. A copy of the Plan has been delivered to the
Participant. By signing and returning this Agreement, the Participant
acknowledges having received and read a copy of the Plan and agrees to comply
with it, this Agreement and all applicable laws and regulations.

 

Accordingly,
the Company and the Participant agree as follows:

 

1.             Incentive Award. Subject to the restrictions, terms and
conditions of the Plan and this Agreement, the Company hereby awards an
Incentive Award to the Participant of $                       .

 

2.             Vesting.

 

(a)           Except as set forth in subsection (b)
below, the Incentive Award shall become vested and cease to be forfeitable (but
shall remain subject to the other terms of this Agreement) as follows if the
Participant has been continuously employed by the Company or an Affiliate until
such date:

 

	
  VESTING DATE

  	
   

  	
  VESTED PERCENTAGE

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  

 

 

There shall be no proportionate or partial
vesting in the periods prior to the applicable vesting dates and all vesting
shall occur only on the appropriate vesting date.

 

(b)          Notwithstanding Paragraph (a), a
Participant’s Incentive Benefit shall become immediately vested and cease to be
forfeitable upon the Participant’s death or Disability (as defined in the Plan)
or Termination of Employment by the Company without Cause. For purposes of this Section,
“Cause” shall mean a termination of employment due to the Participant’s
insubordination, dishonesty, fraud, moral turpitude, misconduct, refusal to
perform his or her duties or responsibilities for any reason other than illness
or incapacity or materially unsatisfactory performance of his or her duties for
the Company or its Affiliates; the failure to remain licensed (to the extent
required by applicable law) to perform his employment duties or the failure of
the Participant to obtain all relevant licenses to perform such duties; the
violation of any employment rules, policies or procedures of the Company
(including internal compliance rules); an act or acts constituting a felony
under the laws of the United States or any state thereof; or a violation of the
federal or state securities laws.

 

3.             Forfeiture. If the Participant’s employment with the
Company or any Affiliate is terminated for any reason, other than as described
in Section 2(b) above, prior to becoming vested in accordance with Section 2(a)
above, the Participant shall forfeit to the Company, without compensation, any
and all unvested Incentive Benefits.

 

4.             Payment. The Participant may make an election using the
form attached hereto to elect when and how his vested Incentive Benefits will
be paid in lieu of the default payment method provided under the Plan.

 

5.             Post-Termination
Obligations. The Participant agrees that the Plan and the
Incentive Award being made thereunder are in further consideration of the
Participant’s confidentiality and non-solicitation obligations, which are set
forth in Paragraphs 3, 4 and 5 of the Participant’s employment agreement with
Alliance Capital Management L.P. Accordingly, Participant agrees that the
provisions of those Paragraphs 3, 4 and 5 are incorporated in this Agreement by
reference as if fully set forth.

 

6.             Death. The Participant’s Beneficiary shall be the
persons designated pursuant to the form attached hereto. The Participant may
change his designation of beneficiary(ies) at any time prior to his death by
submitting a new beneficiary form to the Company.

 

7.             Controlling
Law. This
Agreement shall be governed by and construed in accordance with the laws of the
State of New York without giving effect to conflict of law provisions.

 

2

 

IN
WITNESS WHEREOF, the parties hereto have caused this
Agreement to be duly executed as of the day and year first above written.

 

	
   

  	
  ALLIANCE CAPITAL
  MANAGEMENT L.P.

  
	
   

  	
   

  
	
   

  	
  By:     Alliance Capital Management Corporation,

  General Partner

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By

  	
  /s/ Robert H. Joseph, Jr.

  	
   

  
	
   

  	
  SVP and CFO

  
	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  Participant

  

 

3

 

ALLIANCE CAPITAL MANAGEMENT L.P.

FINANCIAL ADVISOR WEALTH ACCUMULATION PLAN

 

ELECTIVE DISTRIBUTION DATE & ELECTION
DISTRIBUTION FORM

ELECTION FORM

 

The undersigned hereby elects
under the Alliance Capital Management L.P. Financial Advisor Wealth
Accumulation Plan (the “Plan”) as follows:

 

1.                                         In lieu of receiving my Incentive
Benefits in accordance with Section 6.1 of the Plan, I elect to receive (or
commence receiving) my vested Incentive Benefits under the Plan on the
following Elective Distribution Date:

 

o                                    As soon as administratively possible
following my Separation of Service, as defined in the Plan.

 

o                                    January 31, 20       
(this date must be later than date on which the Incentive Benefits will become
100% vested under Agreement).

 

2.                                         In lieu of
receiving my Incentive Benefits in accordance with Section 6.1 of the Plan, I
elect to receive my Incentive Benefits under the Plan in the following Elective
Distribution Form:

 

o                                    Substantially equal annual installments
paid over a period of          years
(not exceeding 10 years).

 

o                                    A single lump sum.

 

These elections, upon becoming effective, shall revoke and supersede
all prior elections.

 

 

	
  Signature of

  	
   

  
	
  Participant:

  	
   

  	
   

  	
  Date:

  	
   

  
					

 

4

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00098-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00098-of-00352.parquet"}], [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00098-of-00352.parquet"}]]