SC 13D/A 1 y66223a1sc13dza.txt AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) ALLIANCE CAPITAL MANAGEMENT L.P. (Name of Issuer) Units of Limited Partnership Interest (Title of Class of Securities) N/A (CUSIP Number) Alvin H. Fenichel Senior Vice President and Controller AXA Financial, Inc. 1290 Avenue of the Americas New York, New York 10104 (212) 314-4094 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) With a copy to: Christianne Butte, Head of Central Legal Department AXA, 25, avenue Matignon 75008 Paris, France 011-331-40-75-56-38 November 25, 2002 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) SCHEDULE 13D CUSIP No. N/A Page 2 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AXA -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Items 4 and 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) HC,CO -------------------------------------------------------------------------------- 2 SCHEDULE 13D CUSIP No. N/A Page 3 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS FINAXA -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) HC,CO -------------------------------------------------------------------------------- 3 SCHEDULE 13D CUSIP No. N/A Page 4 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AXA Assurances I.A.R.D. Mutuelle -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IC -------------------------------------------------------------------------------- 4 SCHEDULE 13D CUSIP No. N/A Page 5 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AXA Assurances Vie Mutuelle -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IC -------------------------------------------------------------------------------- 5 SCHEDULE 13D CUSIP No. N/A Page 6 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AXA Courtage Assurance Mutuelle -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IC -------------------------------------------------------------------------------- 6 SCHEDULE 13D CUSIP No. N/A Page 7 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AXA Conseil Vie Assurance Mutuelle -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IC -------------------------------------------------------------------------------- 7 SCHEDULE 13D CUSIP No. N/A Page 8 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Claude Bebear, As AXA Voting Trustee -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) OO -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Citizen of France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN -------------------------------------------------------------------------------- 8 SCHEDULE 13D CUSIP No. N/A Page 9 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Henri de Castries, as AXA Voting Trustee -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) OO -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Citizen of France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN -------------------------------------------------------------------------------- 9 SCHEDULE 13D CUSIP No. N/A Page 10 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Francoise Colloc'h, as AXA Voting Trustee -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) OO -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Citizen of France -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF See Item 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY See Item 5 ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH See Item 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER See Item 5 -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Item 5 (Not to be construed as an admission of beneficial ownership) -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN -------------------------------------------------------------------------------- 10 SCHEDULE 13D CUSIP No. N/A Page 11 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AXA Financial, Inc. 13-3623351 -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF; BK; WC -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 136,639,620 - See Items 4 and 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 136,639,620 - See Items 4 and 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 136,639,620 - See Items 4 and 5 -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 54.6% - See Item 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) HC, CO -------------------------------------------------------------------------------- 11 SCHEDULE 13D CUSIP No. N/A Page 12 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS AXA Financial Services, LLC 52-2197822 -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 104,015,945 - See Items 4 and 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 104,015,945 - See Items 4 and 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 104,015,945 - See Items 4 and 5 -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 41.6% - See Items 4 and 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) HC, OO -------------------------------------------------------------------------------- 12 SCHEDULE 13D CUSIP No. N/A Page 13 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS The Equitable Life Assurance Society of the United States 13-5570651 -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) WC -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 104,015,945 - See Items 4 and 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 104,015,945 - See Items 4 and 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 104,015,945 - See Items 4 and 5 -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 41.6% - See Items 4 and 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IC, CO -------------------------------------------------------------------------------- 13 SCHEDULE 13D CUSIP No. N/A Page 14 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Equitable Holdings, LLC -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) AF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 32,575,727 - See Items 4 and 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 32,575,727 - See Items 4 and 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 32,575,727 - See Items 4 and 5 -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13% - See Items 4 and 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) HC, OO -------------------------------------------------------------------------------- 14 SCHEDULE 13D CUSIP No. N/A Page 15 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS ACMC, Inc. 13-2677213 -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) WC -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 66,220,822 - See Items 4 and 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 66,220,822 - See Items 4 and 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 66,220,822 - See Items 4 and 5 -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 26.5% - See Items 4 and 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO -------------------------------------------------------------------------------- 15 SCHEDULE 13D CUSIP No. N/A Page 16 of 32 Pages -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS ECMC, LLC -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ] (b) [ ] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) WC -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 32,575,727 - See Items 4 and 5 SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY ----------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 32,575,727 - See Items 4 and 5 ----------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 32,575,727 - See Items 4 and 5 -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13% - See Items 4 and 5 -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) OO -------------------------------------------------------------------------------- 16 Page 17 of 32 Pages This Amendment No. 1 amends the Statement on Schedule 13D ("Schedule 13D") initially filed on June 30, 2000 with the Securities and Exchange Commission by (i) AXA, a company organized under the laws of France, (ii) Finaxa, a holding company organized under the laws of France, (iii) AXA Assurances I.A.R.D. Mutuelle, AXA Assurances Vie Mutuelle, AXA Courtage Assurance Mutuelle and AXA Conseil Vie Assurance Mutuelle, four mutual insurance companies organized under the laws of France (the "Mutuelles AXA"), (iv) the Trustees of a Voting Trust (established pursuant to the Voting Trust Agreement dated as of May 12, 1992 (the "Original Voting Trust Agreement")), (v) AXA Financial, Inc., a Delaware corporation ("AXF"), (vi) AXA Financial Services, LLC (formerly known as AXA Client Solutions, LLC), a Delaware limited liability company whose sole member is AXF ("AXFS"), (vii) The Equitable Life Assurance Society of the United States, a New York stock life insurance company ("Equitable"), (viii) Equitable Holdings, LLC ("EHLLC"), a New York limited liability company whose sole member is Equitable, (ix) ACMC, Inc., a Delaware corporation ("ACMC"), and (x) ECMC, LLC ("ECMC"), a Delaware limited liability company whose sole member is Equitable Holdings, LLC, which Schedule 13D relates to the units of limited partnership interest ("Aliance Capital Units") of Alliance Capital Management L.P., a Delaware limited partnership ("Alliance Capital"). ITEM 2. IDENTITY AND BACKGROUND Item 2 of the Schedule 13D is hereby amended and restated in its entirety as follows. This statement is being filed by (i) AXA, (ii) Finaxa, (iii) the Mutuelles AXA, (iv) Claude Bebear (Chairman of the Supervisory Board of AXA), Henri de Castries (Chairman of the Management Board of AXA) and Francoise Colloc'h (a member of the Management Board of AXA), as Trustees (the "Trustees") of a Voting Trust (the "Voting Trust") established pursuant to the Original Voting Trust Agreement and currently governed by an Amended and Restated Voting Trust Agreement dated as of May 12, 2002, by and among AXA and the Trustees (the "Amended Voting Trust Agreement" and, together with the Original Voting Trust Agreement, the "Voting Trust Agreement"), (v) AXF, (vi) AXFS, (vii) Equitable, (viii) EHLLC, (ix) ACMC, and (x) ECMC. AXA, Finaxa, the Mutuelles AXA, the Trustees, AXF, AXFS, Equitable, EHLLC, ACMC and ECMC are hereinafter collectively referred to as the "Reporting Persons." AXA. AXA is a holding company for an international group of insurance and related financial service companies. The address of AXA's principal business and office is 25, avenue Matignon, 75008 Paris, France. As of March 19, 2002, approximately 17.8% of the issued ordinary shares (representing approximately 28.8% of the voting power) of AXA were directly or indirectly owned by Finaxa. As of March 19, 2002, the Mutuelles AXA, in addition to their indirect beneficial ownership of AXA's ordinary shares through Finaxa, directly beneficially owned approximately 2.8% of AXA's 17 Page 18 of 32 Pages ordinary shares (representing approximately 4.4% of the voting power). In addition, as of March 19, 2002, approximately 1.7% of the ordinary shares of AXA without the power to vote were owned by certain subsidiaries of AXA. Finaxa. Finaxa is a holding company. The address of Finaxa's principal business and office is 23, avenue Matignon, 75008 Paris, France. As of March 19, 2002, approximately 69.5% of the voting shares (representing approximately 79.5% of the voting power) of Finaxa were owned by the Mutuelles AXA, and approximately 22.2% of the voting shares (representing approximately 13.7% of the voting power) of Finaxa were owned by BNP Paribas, a French bank. The Mutuelles AXA. The Mutuelles AXA are AXA Assurances I.A.R.D. Mutuelle, AXA Assurances Vie Mutuelle, AXA Courtage Assurance Mutuelle (formerly known as Uni Europe Assurance Mutuelle) and AXA Conseil Vie Assurance Mutuelle (formerly known as Alpha Assurances Vie Mutuelle). Each of the Mutuelles AXA is a mutual insurance company organized under the laws of France. The address of each of the Mutuelles AXA's principal business and office is as follows: (i) for each of AXA Assurances I.A.R.D. Mutuelle, AXA Assurances Vie Mutuelle and AXA Conseil Vie Assurance Mutuelle is 370, rue Saint Honore, 75001 Paris, France; and (ii) for AXA Courtage Assurance Mutuelle is 26, rue Louis le Grand, 75002 Paris, France. The Trustees. In order to ensure, for insurance regulatory purposes, that certain indirect minority shareholders of AXA are not able to exercise control over AXF and certain of its insurance subsidiaries, AXA has agreed pursuant to the Voting Trust Agreement to deposit in the Voting Trust the shares of capital stock of AXF having voting powers beneficially owned by AXA and certain of its affiliates. AXA or any such affiliate depositing capital stock in the Voting Trust will remain the beneficial owner of all capital stock deposited by it in the Voting Trust, but during the term of the Voting Trust the Trustees will exercise all voting rights with respect to such capital stock. Additional information relating to the Voting Trust Agreement is set forth in the Schedule 13D filed by AXA with respect to its ownership of the capital stock of AXF. Information with respect to the Trustees is set forth on Exhibit 1 hereto since each of the Trustees is a member of the Supervisory or Management Board of AXA. AXF and Subsidiaries. AXF is a holding company. As of November 25, 2002, 100% of the outstanding shares of common stock of AXF were beneficially owned by AXA. AXF and its subsidiaries (including Equitable, an indirect wholly-owned subsidiary) provide diversified financial services to a broad spectrum of financial advisory, insurance and investment management customers. AXFS, whose sole member is AXF, wholly owns Equitable, which in turn wholly owns ACMC. EHLLC, whose sole member is Equitable, is the sole member of ECMC. ECMC, ACMC, EHLLC, AXFS and AXF are holding companies. The address of the principal business and principal office 18 Page 19 of 32 Pages of AXF, AXFS, Equitable, EHLLC, ACMC and ECMC is 1290 Avenue of the Americas, New York, New York 10104. The (i) name, (ii) residence or business address, (iii) present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted and (iv) citizenship of each of the executive officers and directors of each of the Reporting Persons are set forth on Exhibits 1 through 13 hereto. None of the Reporting Persons nor, to the knowledge of any Reporting Person, any natural person named in Exhibits 1 through 9 hereto has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of which any such Reporting Person or person was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Item 3 of the Schedule 13D is hereby amended by inserting the following paragraph at the end thereof. The source of funds for the purchase of 8,160,000 Alliance Capital Units reported by the Reporting Persons was working capital of ECMC. See response to Item 4 for a summary of the transaction pursuant to which 8,160,000 Alliance Capital Units were purchased by ECMC. ITEM 4. PURPOSE OF TRANSACTION Item 4 of the Schedule 13D is hereby amended by inserting the following paragraph at the end thereof. On October 2, 2000, Alliance Capital acquired substantially all of the assets and assumed substantially all of the liabilities of Sanford C. Bernstein Inc. ("SCB") and its subsidiaries (the "Acquisition"). In connection with the Acquisition, AXF entered into a purchase agreement with SCB and Alliance Capital, dated as of June 20, 2000 (the "Purchase Agreement"), pursuant to which it granted SCB the right, beginning on the second anniversary of the closing of the Acquisition, to cause AXF or its designee to purchase the Alliance Capital Units received by SCB as part of consideration for the Acquisition (in the aggregate, such Alliance Capital Units are referred to herein as the "Equity Consideration"). This right is exercisable no more than once annually during each of the eight years following the second anniversary of the closing of the Acquisition, in an amount not to exceed 20% of the Equity Consideration per year and subject to deferral under certain circumstances. 19 Page 20 of 32 Pages On November 8, 2002, SCB delivered a notice to AXF stating that it was exercising its right to sell 8,160,000 Alliance Capital Units under the Purchase Agreement (the "Exercise Notice"). On November 20, 2002, as contemplated by the Purchase Agreement, AXF delivered a notice to SCB specifying November 25, 2002 as the settlement date and designating ECMC to be the purchaser (the "Settlement Notice"). The closing of the purchase took place on November 25, 2002. At the closing, ECMC purchased from SCB Partners Inc., a wholly owned subsidiary of SCB, 8,160,000 Alliance Capital Units at $30.601 per unit, resulting in an aggregate purchase price of $249,704,160. As provided in the Purchase Agreement, the purchase price per Alliance Capital Unit is the average of the closing prices of units representing assignments of beneficial ownership of limited partnership interests (the "Units") of Alliance Capital Management Holding L.P. ("Alliance"), as quoted on the New York Stock Exchange composite tape for the ten trading days ending on November 15, 2002, the fifth trading day following the November 8, 2002 exercise date. Except as set forth in this statement, none of the Reporting Persons has any plans or proposals described in Item 4(a)-(j) of Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER Items 5(a), (b) and (c) are hereby amended and restated in their entirety as set forth below. (a) & (b) At the close of business on November 20, 2002: AXF did not beneficially own directly any Units and beneficially owned 32,623,675 Alliance Capital Units representing approximately 13.5% of the Alliance Capital Units outstanding; Equitable did not beneficially own directly any Units and beneficially owned 5,219,396 Alliance Capital Units representing approximately 2.1% of the Alliance Capital Units outstanding; ACMC beneficially owned directly 722,178 Units representing approximately 0.9% of the Units outstanding and 66,220,822 Alliance Capital Units representing approximately 26.5% of the Alliance Capital Units outstanding; and ECMC beneficially owned directly 722,178 Units representing approximately 0.9% of the Units outstanding and 32,575,727 Alliance Capital Units representing approximately 13.0% of the Alliance Capital Units outstanding. Equitable, ACMC and ECMC have the sole power to vote or direct the vote and the sole power to dispose or direct the disposition of each of their respective Units and Alliance Capital Units. By reason of its ownership interest in ECMC, EHLLC may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to the 722,178 Units owned by ECMC, representing approximately 0.9% of the Units outstanding, and the 32,575,727 Alliance Capital Units owned by ECMC representing approximately 13.0% of the Alliance Capital Units outstanding. By reason of its ownership interest in ACMC and ECMC, Equitable may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to, the 722,178 Units owned by ACMC and the 722,178 Units owned by 20 Page 21 of 32 Pages ECMC, which together represent approximately 1.9% of the Units outstanding, and the 66,220,822 Alliance Capital Units owned by ACMC and the 32,575,727 Alliance Capital Units owned by ECMC, which, together with the 5,219,396 Alliance Capital Units owned directly by Equitable, represent 41.6% of the Alliance Capital Units outstanding. By reason of its ownership interest in ACMC, ECMC and Equitable, AXFS may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to, the 722,178 Units owned by ACMC and the 722,178 Units owned by ECMC, together representing approximately 1.9% of the Units outstanding, and the 66,220,822 Alliance Capital Units owned by ACMC and the 32,575,727 Alliance Capital Units owned by ECMC, which, together with the 5,219,396 Alliance Capital Units owned directly by Equitable, represent 41.6% of the Alliance Capital Units outstanding. By reason of its ownership interest in ACMC, ECMC, Equitable and AXFS, AXF may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to, the 722,178 Units owned by ACMC and the 722,178 Units owned by ECMC, together representing approximately 1.9% of the Units outstanding, and the 66,220,822 Alliance Capital Units owned by ACMC, the 32,575,727 Alliance Capital Units owned by ECMC and the 5,219,396 Alliance Capital Units owned directly by Equitable, which, together with the 32,623,675 Alliance Capital Units owned directly by AXF, represent approximately 54.6% of the Alliance Capital Units outstanding. (This excludes Units acquired by Alliance solely for investment purposes on behalf of client discretionary accounts.) AXA, by virtue of its ownership of 100% of the outstanding shares of common stock of AXF, may be deemed to beneficially own all of the Units and Alliance Capital Units owned indirectly by AXF. By reason of the Voting Trust Agreement, the Trustees may also be deemed to be beneficial owners of such Units and Alliance Capital Units. In addition, the Mutuelles AXA, as a group, and Finaxa may be deemed to be beneficial owners of such Units and Alliance Capital Units. Each of AXA, Finaxa, the Mutuelles AXA and the Trustees expressly declares that the filing of this Schedule 13D shall not be construed as an admission that it is, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owner of such Units or Alliance Capital Units. AXA, by reason of its relationship with AXF, may be deemed to share the power to vote or direct the vote and to dispose or direct the disposition of all of the Units and Alliance Capital Units beneficially owned by AXF. By reason of the Voting Trust arrangement, the Trustees may be deemed and, by reason of their relationship with AXA, the Mutuelles AXA, as a group, and Finaxa may be deemed, to share the power to vote or to direct the vote and to dispose or to direct the disposition of all the Units and Alliance Capital Units beneficially owned by AXF. To the knowledge of the Reporting Persons, the following directors and executive officers of the Reporting Persons listed in Exhibits 1 through 9 hereto beneficially own 21 Page 22 of 32 Pages the following number of outstanding Units and Alliance Capital Units and options or other rights to acquire Units presently or within 60 days: Bruce W. Calvert 1,520,000 Units (includes 1,020,000 Units which Mr. Calvert may acquire within 60 days under Alliance Capital Option Plans); 500,000 Alliance Capital Units Henri de Castries 2,000 Units John S. Chalsty 18,000 Units Christopher M. Condron 5,000 Units Denis Duverne 2,000 Units John T. Hartley 1,460 Units (all of which are owned by his spouse, Martha Hartley) W. Edwin Jarmain 4,000 Units (includes 2,000 Units which Mr. Jarmain may acquire within 60 days under Alliance Capital Option Plans) George J. Sella, Jr. 5,000 Units Peter J. Tobin 2,000 Units (represents 2,000 Units which Mr. Tobin may acquire within 60 days under Alliance Capital Option Plans) Stanley B. Tulin 4,000 Units Other than as described above and in Item 4 above, none of the Reporting Persons beneficially owns any Units or Alliance Capital Units or options or other rights to acquire Units or Alliance Capital Units presently or within 60 days and, to the knowledge of the Reporting Persons, none of the natural persons listed in Exhibits 1 through 9 hereto beneficially owns any Units or options and other rights to acquire Units within 60 days. (c) Other than as described in Item 4 above, during the 60 days preceding the filing of this Amendment, no transactions in Units or Alliance Capital Units were made by the Reporting Persons, or, to the knowledge of the Reporting Persons, any natural person named in Exhibits 1 through 9 hereto. 22 Page 23 of 32 Pages ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Item 6 of the Schedule 13D is hereby amended by inserting the following text at the end thereof. The Original Voting Trust Agreement was due to expire pursuant to its terms on May 12, 2002. AXA and the Voting Trustees renewed the terms of the Original Voting Trust Agreement for an additional 10 year period by way of the Amended Voting Trust Agreement. See response to Item 4 for a summary of the Exercise Notice and the Settlement Notice. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
EXHIBIT NUMBER MATERIAL TO BE FILED AS EXHIBITS --------- -------------------------------- Exhibit 1 Information with respect to Members of the Management Board, Supervisory Board and Executive Officers of AXA (incorporated by reference to Exhibit 1 filed with Amendment No. 9 to the Statement on Schedule 13D filed with the Securities and Exchange Commission on November 27, 2002 by the Reporting Persons with respect to the Units Representing Assignments of Beneficial Ownership of Limited Partnership Interests of Alliance ("Amendment No. 9 to the Alliance Schedule 13D") Exhibit 2 Information with respect to Executive Officers of Finaxa and Members of Finaxa's Conseil d'Administration (incorporated by reference to Exhibit 2 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 3 Information with respect to Executive Officers of AXA Assurances I.A.R.D. Mutuelle and Members of AXA Assurances I.A.R.D. Mutuelle's Conseil d'Administration (incorporated by reference to Exhibit 3 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 4 Information with respect to Executive Officers of AXA Assurances Vie Mutuelle and Members of AXA Assurances Vie Mutuelle's Conseil d'Administration (incorporated by reference to Exhibit 4 filed with Amendment No. 9 to the Alliance Schedule 13D)
23 Page 24 of 32 Pages EXHIBIT NUMBER MATERIAL TO BE FILED AS EXHIBITS --------- -------------------------------- Exhibit 5 Information with respect to Executive Officers of AXA Courtage Assurance Mutuelle and Members of AXA Courtage Assurance Mutuelle's Conseil d'Administration (incorporated by reference to Exhibit 5 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 6 Information with respect to Executive Officers of AXA Conseil Vie Assurance Mutuelle and Members of AXA Conseil Vie Assurance Mutuelle's Conseil d'Administration (incorporated by reference to Exhibit 6 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 7 Information with respect to the Executive Officers and Directors of AXA Financial, Inc. (which is the sole member of AXA Financial Services, LLC) (incorporated by reference to Exhibit 8 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 8 Information with respect to the Executive Officers and Directors of The Equitable Life Assurance Society of the United States (which is the sole member of Equitable Holdings, LLC) (incorporated by reference to Exhibit 9 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 9 Information with respect to the Executive Officers and Directors of ACMC, Inc. (incorporated by reference to Exhibit 12 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 10 Amended and Restated Voting Trust Agreement, dated as of May 12, 2002 (incorporated by reference to Exhibit 15 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 11 Purchase Agreement, dated as of June 20, 2000, between AXF, Alliance Capital and SCB (incorporated by reference to Exhibit 22 filed with Amendment No. 8 to Schedule 13D filed on June 23, 2000) Exhibit 12 Exercise Notice, dated November 8, 2002, pursuant to Section 2.4.1 of the Purchase Agreement (incorporated by reference to Exhibit 17 filed with Amendment No. 9 to the Alliance Schedule 13D) 24 Page 25 of 32 Pages EXHIBIT NUMBER MATERIAL TO BE FILED AS EXHIBITS ---------- -------------------------------- Exhibit 13 Settlement Notice, dated November 20, 2002, pursuant to Sections 2.1 and 2.4.2 of the Purchase Agreement (incorporated by reference to Exhibit 18 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 14 Powers of Attorney for the Voting Trustees, dated July 5, 2002 (with respect to Claude Bebear and Henri de Castries) and July 10, 2002 (with respect to Francoise Colloc'h) (incorporated by reference to Exhibit 19 filed with Amendment No. 9 to the Alliance Schedule 13D) Exhibit 15 Filing Agreement with respect to the Schedule 13D among the Reporting Persons (incorporated by reference to Exhibit 10 to the Schedule 13D filed with the Securities and Exchange Commission on June 30, 2000) Exhibit 16 Powers of Attorney with respect to AXA, Finaxa and the Mutuelles AXA (incorporated by reference to Exhibit 11 to the Schedule 13D filed with the Securities and Exchange Commission on June 30, 2000) 25 Page 26 of 32 Pages SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 27, 2002 AXA FINAXA AXA ASSURANCES I.A.R.D. MUTUELLE AXA ASSURANCES VIE MUTUELLE AXA COURTAGE ASSURANCE MUTUELLE AXA CONSEIL VIE ASSURANCE MUTUELLE CLAUDE BEBEAR, HENRI DE CASTRIES AND FRANCOISE COLLOC'H, AS AXA VOTING TRUSTEES UNDER THE VOTING TRUST AGREEMENT By: /s/ Alvin H. Fenichel ----------------------------------- Name: Alvin H. Fenichel Title: Attorney-in-Fact 26 Page 27 of 32 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 27, 2002 AXA FINANCIAL, INC. By: /s/ Alvin H. Fenichel ---------------------------------------- Name: Alvin H. Fenichel Title: Senior Vice President and Controller 27 Page 28 of 32 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 27, 2002 AXA FINANCIAL SERVICES, LLC By: /s/ Alvin H. Fenichel ------------------------------------------ Name: Alvin H. Fenichel Title: Senior Vice President and Controller 28 Page 29 of 32 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 27, 2002 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES By: /s/ Alvin H. Fenichel ---------------------------------------- Name: Alvin H. Fenichel Title: Senior Vice President and Controller 29 Page 30 of 32 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 27, 2002 EQUITABLE HOLDINGS, LLC By: /s/ Alvin H. Fenichel -------------------------------------------- Name: Alvin H. Fenichel Title: Authorized Signatory 30 Page 31 of 32 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 27, 2002 ACMC, INC. By: /s/ Kevin R. Byrne -------------------------------------------- Name: Kevin R. Byrne Title: Senior Vice President and Chief Financial Officer 31 Page 32 of 32 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 27, 2002 ECMC, LLC By: /s/ Alvin H. Fenichel -------------------------------------------- Name: Alvin H. Fenichel Title: Authorized Signatory 32