-----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, SnYTAYTF7x9JU5uNbTeZG4uEGMOAw6kQ+dsfxg+auKXcY1CvOjWFOMTdyefU75yW Di05bzgia00kiiX0V2seZw== 0001005477-09-000010.txt : 20090102 0001005477-09-000010.hdr.sgml : 20090101 20090102161126 ACCESSION NUMBER: 0001005477-09-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20081230 FILED AS OF DATE: 20090102 DATE AS OF CHANGE: 20090102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA ASSURANCES VIE MUTUELLE ET AL CENTRAL INDEX KEY: 0000898482 STATE OF INCORPORATION: I0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501677 BUSINESS ADDRESS: STREET 1: LA GRANDE ARCHE PARDI NORD STREET 2: 92044 CITY: PARIS LA DEFENSE FRA STATE: I3 MAIL ADDRESS: STREET 1: 26 RUE DROUOT CITY: PARIS STATE: I0 ZIP: 75009 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA ASSURANCES I A R D MUTUELLE ET AL CENTRAL INDEX KEY: 0000941620 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501678 BUSINESS ADDRESS: STREET 1: LA GRANDE ARCHE STREET 2: PARDI NORD CITY: 92044 PARIS LA DEFENCE FRANCE STATE: I0 MAIL ADDRESS: STREET 1: 26 RUE DROUOT CITY: PARIS STATE: I0 ZIP: 75009 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA CENTRAL INDEX KEY: 0000898427 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: I0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501679 BUSINESS ADDRESS: STREET 1: 25 AVE MATIGNON CITY: PARIS FRANCE STATE: I0 BUSINESS PHONE: 2125544489 MAIL ADDRESS: STREET 1: 135 WEST 50TH ST 3RD ST STREET 2: 135 WEST 50TH ST 3RD ST CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: AXA UAP DATE OF NAME CHANGE: 19970904 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN HOLDING L.P. CENTRAL INDEX KEY: 0000825313 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133434400 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 HOLDING LP DATE OF NAME CHANGE: 19991101 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE CAPITAL MANAGEMENT LP DATE OF NAME CHANGE: 19961231 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA FINANCIAL INC CENTRAL INDEX KEY: 0000888002 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501676 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 NAME: FORMER CONFORMED NAME: EQUITABLE COMPANIES INC DATE OF NAME CHANGE: 19950721 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA EQUITABLE FINANCIAL SERVICES LLC CENTRAL INDEX KEY: 0001257148 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501673 BUSINESS ADDRESS: STREET 1: 1290 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 212-554-1234 MAIL ADDRESS: STREET 1: 1290 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER NAME: FORMER CONFORMED NAME: AXA FINANCIAL SERVICES LLC DATE OF NAME CHANGE: 20030728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EQUITABLE HOLDINGS LLC CENTRAL INDEX KEY: 0001257149 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501675 BUSINESS ADDRESS: STREET 1: 1290 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2125541234 MAIL ADDRESS: STREET 1: 1290 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA FINANCIAL (BERMUDA) LTD. CENTRAL INDEX KEY: 0001450152 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1208 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501681 BUSINESS ADDRESS: STREET 1: C/O MARSH MANAGEMENT SERVICES (BERMUDA) STREET 2: VICTORIA HALL, 11 VICTORIA STREET CITY: HAMILTON STATE: D0 ZIP: HM11 BUSINESS PHONE: 441-292-4402 MAIL ADDRESS: STREET 1: C/O MARSH MANAGEMENT SERVICES (BERMUDA) STREET 2: VICTORIA HALL, 11 VICTORIA STREET CITY: HAMILTON STATE: D0 ZIP: HM11 FORMER NAME: FORMER CONFORMED NAME: AXA Financial (Bermuda) Ltd. DATE OF NAME CHANGE: 20081118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACMC INC CENTRAL INDEX KEY: 0000003798 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501680 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 NAME: FORMER CONFORMED NAME: ALLIANCE CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19920929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA EQUITABLE LIFE INSURANCE CO CENTRAL INDEX KEY: 0000727920 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09818 FILM NUMBER: 09501674 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 AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER NAME: FORMER CONFORMED NAME: AXA-EQUITABLE LIFE INSURANCE CO DATE OF NAME CHANGE: 20040928 FORMER NAME: FORMER CONFORMED NAME: EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES /NY/ DATE OF NAME CHANGE: 19920703 4 1 edgar123.xml FORM 4 X0303 4 2008-12-30 0 0000825313 ALLIANCEBERNSTEIN HOLDING L.P. AB 0000003798 ACMC INC 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 0 1 Filed by mult. reporting pers. 0000898427 AXA 25 AVENUE MATIGNON PARIS I0 75008 FRANCE 0 0 0 1 Filed by mult. reporting pers. 0000941620 AXA ASSURANCES I A R D MUTUELLE ET AL 26, RUE DROUOT PARIS I0 75009 FRANCE 0 0 0 1 Filed by mult.reporting pers. 0000898482 AXA ASSURANCES VIE MUTUELLE ET AL 26, RUE DROUOT PARIS I0 75009 FRANCE 0 0 0 1 Filed by mult. reporting pers. 0000888002 AXA FINANCIAL INC 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 0 1 Filed by mult. reporting pers. 0001257149 EQUITABLE HOLDINGS LLC 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 0 1 Filed by mult. reporting pers. 0000727920 AXA EQUITABLE LIFE INSURANCE CO 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 0 1 Filed by mult. reporting pers. 0001257148 AXA EQUITABLE FINANCIAL SERVICES LLC 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 0 1 Filed by mult. reporting pers. 0001450152 AXA FINANCIAL (BERMUDA) LTD. C/O 1290 AVENUE OF AMERICAS NEW YORK NY 10104 0 0 0 1 Filed by mult. reporting pers. Units 722178 D Units 722178 D Units Representing Assignments of Beneficial Ownership of Limited Partnership Interests ("Units") in AllianceBernstein Holding L.P. ("Holding"). These Units are directly owned by ACMC, Inc. ("ACMC"), an indirect wholly-owned subsidiary of AXA Financial, Inc. ("AXA Financial"). AXA indirectly owns all of the common stock (the "Common Stock") of AXA Financial, which is the direct and indirect beneficial owner of the securities covered by this Form 4. As of December 31, 2007, AXA I.A.R.D Mutuelle and AXA Assurances Vie Mutuelle (collectively., the "Mutuelles AXA"), directly and indirectly owned approximately 14.48% of the issued ordinary shares (representing approximately 20.84% of the voting power) of AXA. The Mutuelles AXA, and AXA expressly declare that the filing of this Form 4 shall not be construed as an admission that either of them is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by this Form 4. AXA has deposited its shares of Common Stock into a voting trust. AXA will remain the indirect beneficial owner of such Common Stock, but during the term of the voting trust, the AXA Voting Trustees will exercise all voting rights wth respect to the Common Stock. Accordingly, the AXA Voting Trustees may be deemed to beneficially own the securities covered by this Form 4. The AXA Voting Trustees expressly declare that the filing of this Form 4 shall not be construed as an admission that any of them is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by this Form 4. On December 30, 2008, AXA Equitable sold an aggregate of 20,164,587 AB Units consisting of the sale of (i) 16,349,665 AB Units to AXA Bermuda, (ii) 2,452,450 AB Units to MONY Life and (iii) 1,362,472 AB Units to MLOA at a price of $18.349 per AB Unit. The purchase price for the AB Units is equal to the average of the closing prices of a Holding Unit as quoted on the New York Stock Exchange composite tape for the ten trading days ending on December 29, 2008. In addition to the Units reported in this Form 4, the Reporting Persons beneficially own units of limited partnership interests ("AB Units") in AllianceBernstein L.P. ("AllianceBernstein") as follows. As of January 2, 2009, ACMC beneficially owned directly 66,220,822 AB Units; AXA Equitable, 29,100,290 AB Units; AXA Financial (Bermuda) Ltd., 57,211,519 AB Units; MONY Life, 6,841,642 AB Units; MLOA, 2,587,472 AB Units; and AllianceBernstein Corporation, a wholly-owned subsidiary of AXA Equitable, owned a 1% general partnership interest in AllianceBernstein and 100,000 units of general partnership interest in Holding. Does not include 8,160,000 AB Units that AXA Financial (or its designee) is expected to purchase in January 2009 pursuant to the Purchase Agreement by and among AXA Financial, SCB Inc. and AllianceBernstein. For more information regarding this purchase, please see the separate Form 4 filings, which were filed with the Securities and Exchange Commission on December 23, 2008. For more information on the Reporting Persons' holdings of AB Units, see their separate Form 4 filings with respect to AB Units The AB Units are highly illiquid, and the ability of a holder of AB Units to exchange them in the future for Holding Units if it so desires is substantially limited. In general, transfers of AB Units will be allowed only with the written consent of both AXA Equitable and the general partner of AllianceBernstein. AXA Equitable and the general partner of AllianceBernstein have stated that they intend to refuse to consent to any transfer that is not described in the safe harbors set forth in the United States Treasury regulations. These Units are directly owned by AXA Equitable. As used in this Form 4, "AXA Equitable" refers to AXA Equitable Life Insurance Company; "MONY Life" refers to MONY Life Insurance Company; and "MLOA" refers to MONY Life Insurance Company of America. AXA Equitable, MONY Life and MLOA are indirect wholly owned subsidiaries of AXA Financial. This is one of two Forms 4 reporting this transaction filed today by multiple reporting persons. See Attachment A filed as an Exhibit hereto for a complete list of Reporting Persons filing these two Forms 4 today. Alvin H. Fenichel (See Attachment A) 2009-01-02 Kevin R. Byrne (See Attachment A) 2009-01-02 EX-99 2 attachmenta.txt ATTACHMENT A ADDITIONAL REPORTING PERSONS AND SIGNATURES COMPANY / ADDRESS AXA ASSURANCES I.A.R.D. MUTUELLE 26, rue Drouot 75009 Paris, France AXA ASSURANCES VIE MUTUELLE 26, rue Drouot 75009 Paris, France are Reporting Persons through their interest in the following entity: AXA 25, avenue Matignon 75008 Paris, France is a Reporting Person through its interest in AXA Financial, Inc. SIGNED ON BEHALF OF THE ABOVE ENTITIES (collectively, the "Mutuelles AXA, and AXA") By: /s/Alvin H. Fenichel ---------------------------------- Alvin H. Fenichel, Attorney-in-Fact COMPANY / ADDRESS AXA FINANCIAL, INC. 1290 Avenue of the Americas New York, New York 10104 AXA EQUITABLE FINANCIAL SERVICES, LLC 1290 Avenue of the Americas New York, New York 10104 AXA EQUITABLE LIFE INSURANCE COMPANY 1290 Avenue of the Americas New York, New York 10104 SIGNED ON BEHALF OF THE ABOVE ENTITIES By: /s/ Alvin H. Fenichel ------------------------------- Alvin H. Fenichel, Senior Vice President and Chief Accounting Officer EQUITABLE HOLDINGS, LLC 1290 Avenue of the Americas New York, New York 10104 By: /s/ Alvin H. Fenichel ------------------------------- Alvin H. Fenichel, Authorized Signatory AXA Financial (Bermuda) Ltd. C/O 1290 Avenue of the Americas New York, New York 10104 By: /s/ Kevin R. Byrne ------------------------------- Kevin R. Byrne, President ACMC, INC. 1290 Avenue of the Americas New York, New York 10104 By: /s/Kevin R. Byrne ------------------------------- Kevin R. Byrne, Senior Vice President and Chief Financial Officer Since no more than ten reporting persons may join in a single electronic Form 4 submission, a separate Form 4 is being filed today on behalf of the following reporting persons: COMPANY / ADDRESS AXA America Holdings, Inc. 1290 Avenue of the Americas New York, New York 10104 Oudinot Participations 26, rue du Colisee 75008 Paris, France VOTING TRUSTEES / ADDRESS Henri de Castries, Christopher Condron and Denis 25, avenue Matignon Duverne (collectively, the "AXA Voting 75008 Paris, France Trustees") pursuant to the Amended and Restated Voting Trust Agreement dated as of May 12, 2002, with AXA. MONY LIFE INSURANCE COMPANY 1290 Avenue of the Americas New York, New York 10104 MONY LIFE INSURANCE COMPANY OF AMERICA 1290 Avenue of the Americas New York, New York 10104 -----END PRIVACY-ENHANCED MESSAGE-----