-----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, PvYbnYFjYWr+9pp6ih71m4/zsUzHEqTZcuWQBnhgvjJ7zTBizdSwImclCGlLCHNm NuNUyV2d4dGK/BM5rO2bJQ== 0000771726-03-000366.txt : 20031202 0000771726-03-000366.hdr.sgml : 20031202 20031202172444 ACCESSION NUMBER: 0000771726-03-000366 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20031202 ITEM INFORMATION: Regulation FD Disclosure FILED AS OF DATE: 20031202 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AXA FINANCIAL INC CENTRAL INDEX KEY: 0000888002 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 133623351 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11166 FILM NUMBER: 031033416 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2125541234 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER COMPANY: FORMER CONFORMED NAME: EQUITABLE COMPANIES INC DATE OF NAME CHANGE: 19950721 8-K 1 file001.txt ITEM 9 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Sections 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 2, 2003 AXA FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 1-11166 13-3623351 - ---------------------------- ------------------------ ---------------------- (State or other jurisdiction (Commission File Number) (I.R.S. Employer of incorporation) Identification No.) 1290 Avenue of the Americas New York, New York 10104 (Address of principal executive offices) (Zip Code) (212) 554-1234 (Registrant's telephone number, including area code) ITEM 9. REGULATION FD DISCLOSURE. On December 2, 2003, AXA Financial, Inc. issued a press release announcing its acquisition of warrants to purchase newly issued common stock of The MONY Group Inc. ("MONY") equivalent to approximately 4.6% of MONY's currently outstanding common stock from GS Mezzanine Partners and affiliated funds managed by Goldman Sachs & Co. A copy of the press release is furnished as Exhibit 99.1 hereto. Note: the information in this report (including the exhibits) is furnished pursuant to Item 9 and shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section, or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing. This report will not be deemed a determination or an admission as to the materiality of any information in the report that is required to be disclosed solely by Regulation FD. 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 hereunto duly authorized. AXA FINANCIAL, INC. ------------------------------------ (Registrant) Date: December 2, 2003 By: /s/ Kevin R. Byrne --------------------------------- Name: Kevin R. Byrne Title: Senior Vice President and Treasurer EXHIBIT INDEX EXHIBIT NUMBER DESCRIPTION - -------------- ----------- Exhibit 99.1 Press release of AXA Financial, Inc., dated December 2, 2003. EX-99.1 3 file002.txt PRESS RELEASE Exhibit 99.1 Contacts: Jeff Tolvin AXA Financial (212) 314-2811 jeffrey.tolvin@axa-financial.com For immediate release: AXA FINANCIAL ACQUIRES WARRANTS TO PURCHASE 4.6% OF MONY FROM GS MEZZANINE PARTNERS AND AFFILIATED FUNDS MANAGED BY GOLDMAN SACHS New York, N.Y., December 2, 2003 - AXA Financial, Inc. today announced the acquisition of warrants to purchase newly issued common stock of The MONY Group Inc. (NYSE: MNY) equivalent to approximately 4.6% of MONY's currently outstanding common stock, for a cash purchase price equal to $30.80 per share less the warrant strike price of $23.50 per share. The warrants, with an expiration date in December 2008, were acquired by AXA Financial in a private transaction from GS Mezzanine Partners, L.P. and affiliated investment funds managed by Goldman Sachs & Co. GS Mezzanine Partners and its affiliated investment funds have held the warrants since their investment in MONY in December 1997, prior to MONY's 1998 demutualization and initial public offering. Prior to the transaction with AXA Financial, GS Mezzanine Partners and these funds collectively held warrants to purchase approximately 7% of MONY's fully diluted outstanding common stock which, if exercised, would have made Goldman MONY's largest shareholder. (more) Page 2 "This acquisition reinforces AXA Financial's strong commitment to our proposed merger with MONY," said Christopher M. "Kip" Condron, President and Chief Executive Officer of AXA Financial. AXA Financial intends to exercise the warrants to purchase MONY common stock prior to the record date for MONY's special shareholders meeting to consider the proposed merger between MONY and AXA Financial and intends to vote the shares in favor of the transaction. The completion of AXA Financial's proposed merger with MONY is subject to various closing conditions including receipt of MONY shareholder approval and various regulatory approvals. About AXA Financial AXA Financial, Inc., with approximately $472.2 billion in assets under management as of September 30, 2003, is one of the world's premier financial services organizations through its strong brands: The Equitable Life Assurance Society of the U.S., AXA Advisors, LLC, Alliance Capital Management, L.P., Sanford C. Bernstein & Co., and its premier wholesale distribution company, AXA Distributors, LLC. AXA Financial is a member of the global AXA Group, a worldwide leader in financial protection and wealth management. ### -----END PRIVACY-ENHANCED MESSAGE-----