-----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, EbGvc3AmJGU1cle/rxp4neVUSjwCCqJ2R6rceguqNKNf1kb/20KSzww4UXUPelf0 C3EfWUkz1R1NLQQSAWeyrg== 0000912057-01-000064.txt : 20010122 0000912057-01-000064.hdr.sgml : 20010122 ACCESSION NUMBER: 0000912057-01-000064 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001223 FILED AS OF DATE: 20010102 SUBJECT COMPANY: 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: 3 SEC ACT: SEC FILE NUMBER: 001-11166 FILM NUMBER: 1500726 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 COMPANY DATA: COMPANY CONFORMED NAME: AXA MERGER CORP CENTRAL INDEX KEY: 0001131044 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O CORPORATION TRUST CENTER STREET 2: 1209 ORANGE STREET, COUNTY NEW CASTLE CITY: CITY OF WILMINGTON C STATE: DE ZIP: 00000 BUSINESS PHONE: 2124741102 MAIL ADDRESS: STREET 1: C/O CORPORATION TRUST CENTER STREET 2: 1209 ORANGE STREET, COUNTY NEW CASTLE CITY: WILMINGTON CITY STATE: DE 3 1 a2034369z3.txt FORM 3
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION FORM 3 WASHINGTON, D.C. 20549 - -------- INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or (Print or Type Responses) Section 30(f) of the Investment Company Act of 1940 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Date of Event Re- 4. Issuer Name AND Ticker or Trading Symbol quiring Statement (Month/Day/Year) AXA Financial, Inc. (NYSE: AXF) - ------------------------------------------------- ------------------------------------------------------------ (Last) (First) (Middle) 12/23/00 5. Relationship of Reporting Person(s) 6. If Amendment, Date ----------------------- to Issuer (Check all applicable) of Original 3. IRS or Social Se- Director X 10% Owner (Month/Day/Year) AXA Merger Corp. curity Number of ---- ---- Reporting Person Officer (give Other (specify --------------------- - ------------------------------------------------- (Voluntary) title below) below) 7. Individual or (Street) ---- ---- Joint/Group Filing (Check Applicable c/o Corporation Trust Center Line 1209 Orange Street --------------------------- Form filed by One X Reporting Person --- Form filed by More than One Reporting Person --- - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) City of Wilmington, Delaware County New Castle - ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial (Instr. 4) Beneficially Owned Form: Direct Ownership (Instr. 5) (Instr. 4) (D) or Indirect (I) (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $.01 per share 53,399,909(1) I(2) Shares beneficially owned by the reporting person are held by Claude Bebear, Patrice Garnier and Henri de Clermont-Tonnerre as voting trustees under a voting trust.(2) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, SEE Instruction 5(b)(v). SEC 1473 (7-97) POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) cisable and Underlying Derivative Security sion or ship Beneficial Expiration (Instr. 4) Exercise Form of Ownership Date Price of Deriv- (Instr. 5) (Month/Day/ Deri- ative Year) vative Security: -------------------------------------------------- Security Direct Amount (D) or Date Expir- or Indirect Exer- ation Title Number (I) cisable Date of Shares (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Representing the number of shares of Common Stock acquired by AXA and AXA Merger Corp. in their joint exchange offer for all outstanding shares of Common Stock, other than shares owned by AXA and its subsidiaries and shares held in treasury by AXA Financial, Inc., and allocated to AXA Merger Corp. (2) Pursuant to the terms of a Voting Trust Agreement dated as of May 12, 1992, among AXA and Claude Bebear, Patrice Garnier and Henri de Clermont-Tonnerre (together, the "Voting Trustees"), as amended by Amendment No. 1 thereto dated as of January 22, 1997, AXA Merger Corp. has deposited its shares of Common Stock into a voting trust (the "Voting Trust"). AXA Merger Corp. will remain the beneficial owner of such Common Stock, but, during the term of the Voting Trust, the Voting Trustees will exercise all voting rights with respect to the Common Stock. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. /s/ Christianne Butte January 2, 2001 ------------------------------------ --------------- Name: Christianne Butte Date Vice President and Secretary **Signature of Reporting Person Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----