-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HwoS+DEQs5OG4TZeDdClgtXkXLjRWyFMVqTWUt4LFzizGp5JIMRc/1SsxCUinmSe fDuo0XPUE6nj+6zfcv79Xg== 0001104659-02-004573.txt : 20020917 0001104659-02-004573.hdr.sgml : 20020917 20020917155114 ACCESSION NUMBER: 0001104659-02-004573 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020917 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20020917 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE CAPITAL MANAGEMENT HOLDING LP CENTRAL INDEX KEY: 0000825313 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133434400 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 02766016 BUSINESS ADDRESS: STREET 1: 1345 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2129691000 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE CAPITAL MANAGEMENT LP DATE OF NAME CHANGE: 19961231 8-K 1 j5007_8k.htm 8-K

 

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)

 

September 17, 2002

 

 

 

ALLIANCE CAPITAL MANAGEMENT HOLDING L.P.

(Exact name of registrant as specified in its charter)

 

 

Delaware

 

001-09818

 

13-3434400

(State or other jurisdiction of

 

(Commission

 

(I.R.S. Employer

incorporation or organization)

 

File Number)

 

Identification Number)

 

 

 

 

 

1345 Avenue of the Americas, New York, New York

 

10105

(Address of principal executive offices)

 

(Zip Code)

 

 

 

 

 

Registrant’s telephone number, including area code

 

212-969-1000

 



 

Item 1.    Changes in Control of Registrant.

 

Not applicable.

 

Item 2.    Acquisition or Disposition of Assets.

 

Not applicable.

 

Item 3.    Bankruptcy or Receivership.

 

Not applicable.

 

Item 4.    Changes in Registrant’s Certifying Accountant.

 

Not applicable.

 

Item 5.    Other Events and Regulation FD Disclosure.

 

Not applicable.

 

Item 6.    Resignations of Registrant’s Directors.

 

Not applicable.

 

Item 7.    Financial Statements and Exhibits.

 

(a)                                  Financial Statements of Businesses Acquired

 

None.

 

(b)                                 Pro Forma Financial Information

 

None.

 

(c)                                  Exhibits

 

99.28                     Pursuant to Regulation FD, Alliance Capital Management Holding L.P. is furnishing its Press Release dated September 17, 2002.

 

Item 8.    Change in Fiscal Year.

 

Not applicable.

 

2



 

Item 9.    Regulation FD Disclosure.

 

Pursuant to Regulation FD, Alliance Capital Management Holding L.P. is furnishing its Press Release dated September 17, 2002.  The Press Release is attached hereto as Exhibit 99.28.

 

 

3



 

SIGNATURES

 

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.

 

 

 

 

ALLIANCE CAPITAL MANAGEMENT HOLDING L.P.

 

 

 

Dated: September 17, 2002

By:

Alliance Capital Management

 

 

Corporation, General Partner

 

 

 

 

By:

/s/ Robert H. Joseph, Jr.

 

 

Robert H. Joseph, Jr.

 

 

Senior Vice President and

 

 

Chief Financial Officer

 

 

4


EX-99.28 3 j5007_ex99d28.htm EX-99.28

 

EXHIBIT 99.28

 

News Release

 

 

FOR IMMEDIATE RELEASE

 

 

Contacts:

 

Valerie Haertel (Investor Relations)

 

John Meyers (Media)

 

 

(212) 969-6414

 

(212) 969-2301

 

 

investor_relations@acml.com

 

john_meyers@acml.com

 

 

ALLIANCE CAPITAL ANNOUNCES AUGUST 31, 2002 ASSETS UNDER MANAGEMENT

 

 

New York, NY, September 17, 2002 — Alliance Capital Management Holding L.P. (“Alliance Holding”) (NYSE: AC) and Alliance Capital Management L.P. (“Alliance Capital”) today reported preliminary assets under management (AUM) of approximately $395 billion at August 31, 2002 compared to $389 billion at July 31, 2002 and $445 billion at August 31, 2001.

 

Total AUM at August 31, 2002 increased by approximately 2% or $6 billion from July 31, 2002 and decreased approximately 11% or $50 billion from August 31, 2001. The increase from July 31, 2002 primarily resulted from higher market levels and positive net flows in the institutional and private client channels.

 

ALLIANCE CAPITAL MANAGEMENT L.P.

(THE OPERATING PARTNERSHIP)

ASSETS UNDER MANAGEMENT

($ billions)

 

 

 

At August 31, 2002
(preliminary)

 

At July 31, 2002

 

At Dec 31, 2001*

 

At Aug 31, 2001*

 

 

 

Retail

 

Institutional Investment Management

 

Private Client

 

Total

 

Total

 

Total

 

Total

 

Equity

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Growth

 

$

45

 

$

72

 

$

3

 

$

120

 

$

120

 

$

173

 

$

174

 

Value

 

23

 

50

 

26

 

99

 

96

 

101

 

96

 

Total Equity

 

68

 

122

 

29

 

219

 

216

 

274

 

270

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fixed Income

 

69

 

72

 

11

 

152

 

149

 

146

 

144

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Passive

 

3

 

21

 

0

 

24

 

24

 

32

 

31

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total

 

$

140

 

$

215

 

$

40

 

$

395

 

$

389

 

$

452

 

$

445

 

 


* AUM previously reported as of each date prior to March 31, 2002, have been restated to reflect the reclassification of institutional cash management and sub-advised variable annuity accounts from Institutional Investment Management to Retail and certain Private Client accounts to Retail and Institutional Investment Management.  AUM now also excludes assets managed by unconsolidated affiliates.

 



 

ABOUT ALLIANCE CAPITAL

 

Alliance Capital is a leading global investment management firm providing investment management services for many of the largest U.S. public and private employee benefit plans, foundations, public employee retirement funds, pension funds, endowments, banks, insurance companies and high-net-worth individuals worldwide. Alliance Capital is also one of the largest mutual fund sponsors, with a diverse family of globally distributed mutual fund portfolios. As one of the world’s leading global investment management organizations, Alliance Capital is able to compete for virtually any portfolio assignment in any developed capital market in the world.

Alliance Holding owns approximately 30.4% of the units of limited partnership interest in Alliance Capital. AXA Financial, Inc. owns approximately 2.0% of the outstanding Alliance Holding Units and approximately 51.4% of the outstanding units of limited partnership interest in Alliance Capital, representing an approximate 52.5% economic interest in Alliance Capital. AXA Financial, Inc. is a wholly owned subsidiary of AXA, one of the largest global financial services organizations.

 

Forward-Looking Statements

 

Certain statements provided by Alliance Capital and Alliance Holding in this press 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, which could cause actual results to differ materially from future results expressed or implied by such forward-looking statements.  The most significant of such factors include, but are not limited to, the following: the performance of financial markets, the investment performance of Alliance Capital’s sponsored investment products and separately managed accounts, general economic conditions, future acquisitions, competitive conditions, and government regulations, including changes in tax rates.  Alliance Capital and Alliance Holding caution readers to carefully consider such factors.  Further, such forward-looking statements speak only as of the date on which such statements are made; Alliance Capital and Alliance Holding undertake no obligation to update any forward-looking statements to reflect events or circumstances after the date of such statements.

 

2


GRAPHIC 4 j5007ex99d28image002.gif J5007EX99D28IMAGE002.GIF begin 644 j5007ex99d28image002.gif M1TE&.#=AW0`S`'<``"'^&E-O9G1W87)E.B!-:6-R;W-O9G0@3V9F:6-E`"P` M````W0`S`(0````1$1$B(B(S,S-$1$15555F9F9W=W>(B(B9F9FJJJJ[N[O, MS,S=W=WN[N[___\!`@,!`@,!`@,!`@,!`@,!`@,!`@,!`@,!`@,!`@,!`@,! M`@,!`@,!`@,!`@,!`@,$__#)2:N]..O-N_]@*(YD:9YHJJYLZ[YP+,]T;=]X MRUQ[[O]`'".@J#@`BZ!RR401`(**`>IH6J]8BP+`34P87(`W2RX'!6%`0S)( M]\SP>"R1!AP>B[I!SN^GCG5%`74`17Z'B!Y3:00/!X10B9*3%6!U#`V07'N4 M5@T*AGYO'$]A#7>E76UA52P&KP9K%PT(`G<2#`<#!5^8<`IH80@O"0:C)0L& M@[(;=&&<>6&-6V$#+6FW7[5<`0L-!L&%$@BL9=1U!\QH[1.^"=+*)$3XS"0)C8TF3.'4P8$E+AU^"FR0$)N$ M15RRG5@EK,(YD4(GU.+YSF8.9SP+)*7@R\0\C-&H/D@@J\%"D@`Z:`WS#V6: M5OM4DI@8AA>%<]9&OKQ;P)T``@H*#"`PS$*N)`D&%Y#KP`"!`086ZB*@=,(J MGELI/$(@F,#B2L88/"YPK$&QD4@!OVES`(V`6!/0`FTSP#P43U1>%)F%$X5\42`$0@`"&$+B/2+)I0-LM_NV!5EYT MM5."14B@I52`[Z6UP'.MM"'``J)U*($"SSEFU`-:4??3'@05,5$H!(I5`1T7 MC>6&=9LL4)\""[`D05%4:27`#DBA^%L&,59!8T0/^,?BD2-8\@!=(@T9W$_Y M6%D@`0*T`E&=J1ABU#UY/9'7*N4EE).!%6:06`]")1%.$D+Q@F-12@EFH9`Y M:H#2/R'6LV9*<^YC%0=3B*0>,T]%=R9M[C20S`'&U]\"D$J1BS:7/5&#:_P&T9R2F`:=@5T(0AM%%80(4]@".> M$L`Z3H)<``J>!$8M,B&D82B`0$(!A(N27!1HJ8FD;)7[%K.9':6)M?!=\%QY MSZF#DB'[7/@!(`1X]MR$.*9H+H$#R'MM*KB&<<>U4K47[D=IC)Q=-1KWBZRX M^+B4[I?-DLP%:3\1G-8%_FF;+0\A54&@B*=B0%M[K8R[EW\.D"221K;&RZ[' M#_A3@7\$8!3R7G<]D`JE4J\<(,``;' MTU*@7O]A(7:W@7]J@(#&R$+=4O%>L/K=-N`>";Y5J)_4+52XIE6T#P`9BU?( M6P:IW&_>_(!]"T1YDMUI!;=!$7$:$+89\?/01_]8'8MR`(C#Q^YEM-FI^Q.D MWMX%;E1`NX58@`+*R&@GAWLPSP!MCXNCM=E@$\"``[0AP$"991>L#X=.PQ(` M`:B?##2@%`=@!@*>@P#3I*UW0&-42I)7!QDYX%8.H,L!JG`[BB3':13X#JG493`$N)!I*#E)0\`1-N7"Y`XFF8!) MXH^2J/Q"*5?925;^8P&MC"4K]W$`4MHR"T$+02YGL+).4(`V=O'E(7HIS'Z` ML)AR4(8TL!>$,IK1AKM$YA((8;4S//.:=I!F'!C`S6Y&DP9#P^8`V:;-
-----END PRIVACY-ENHANCED MESSAGE-----