-----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, Vk887xN7W5PE/q5/P7XOLkOAY+r6QpKoFubntROiEeuGWm4c7c+UBRV3Hfvv1IrF gHbdSL+NWeO0hD0RkOfdDg== 0000771726-99-000137.txt : 19990902 0000771726-99-000137.hdr.sgml : 19990902 ACCESSION NUMBER: 0000771726-99-000137 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19990903 ITEM INFORMATION: ITEM INFORMATION: FILED AS OF DATE: 19990901 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EQUITABLE COMPANIES 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: SEC FILE NUMBER: 001-11166 FILM NUMBER: 99704469 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 8-K 1 NAME CHANGE UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 1, 1999 -------------------------------- THE EQUITABLE COMPANIES INCORPORATED - - ------------------------------------------------------------------------------ (Exact Name of Registrant as Specified in its Charter) Delaware 1-11166 13-3623351 - - ------------------------------------------------------------------------------ (State or other (Commission File Number) (I.R.S. Employer jurisdiction of Identification incorporation) Number) 1290 Avenue of the Americas New York, New York 10104 - - ------------------------------------------------------------------------------ (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code (212) 554-1234 ---------------------------- Item 5. Other Events On September 1, 1999, The Equitable Companies Incorporated announced that its name will change to "AXA Financial, Inc." effective 4:30 p.m. New York time on Friday, September 3, 1999. Beginning Tuesday, September 7, 1999, its shares of common stock will trade on the New York Stock Exchange under the new ticker symbol "AXF." Item 7. Financial Statements and Exhibits. (a) Financial Statements of Businesses Acquired None (b) Pro Forma Financial Information None (c) Exhibits 3 Corrected Certificate of Amendment of Restated Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on August 31, 1999 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 hereunto duly authorized. THE EQUITABLE COMPANIES INCORPORATED Dated: September 1, 1999 By: /s/ Pauline Sherman -------------------------------------- Pauline Sherman Vice President, Secretary and Associate General Counsel EXHIBIT INDEX Exhibit Number Description - - -------------- ----------- 3 Corrected Certificate of Amendment of Restated Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on August 31, 1999 EX-3.I 2 CORRECTED CERTIFICATE OF AMENDMENTS CORRECTED CERTIFICATE OF AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION To more accurately reflect the language of the resolution referred to in Article First, to indicate with greater specificity the effective time stated in Article Fourth and to correct other non-substantive typographical errors in the caption and in Articles First, Second and Fourth, all with respect to the Certificate of Amendment of Certificate of Incorporation filed on August 18, 1999, The Equitable Companies Incorporated, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, DOES HEREBY CERTIFY: FIRST: That the Board of Directors of said Corporation, at a meeting duly held on February 18, 1999, adopted a resolution setting forth a proposed amendment to the Restated Certificate of Incorporation of said Corporation, declaring said amendment to be advisable and further resolving that said amendment be submitted to the annual meeting of shareholders for consideration thereof. The resolution setting forth the proposed amendment is as follows: RESOLVED, that it is advisable to amend ARTICLE I of [the Corporation's] Restated Certificate of Incorporation to read in its entirety as follows: "The name of the Corporation is AXA FINANCIAL, INC." SECOND: That thereafter, pursuant to resolution of its Board of Directors the annual meeting of the shareholders of said Corporation was duly called and held upon notice in accordance with Section 222 of the General Corporation Law of the State of Delaware at which meeting on May 19, 1999 the necessary number of shares as required by statute were voted in favor of the amendment. THIRD: That the amendment was duly adopted in accordance with the applicable provisions of Section 242 of the General Corporation Law of the State of Delaware. FOURTH: That this Corrected Certificate of Amendment of the Restated Certificate of Incorporation shall become effective on September 3, 1999 at 4:30 P.M. (New York time). IN WITNESS WHEREOF, The Equitable Companies Incorporated has caused this certificate to be signed by Linda J. Galasso, its Assistant Secretary, this 31st day of August, 1999. /s/ Linda J. Galasso --------------------------- By Linda J. Galasso Assistant Secretary -----END PRIVACY-ENHANCED MESSAGE-----