0001193125-11-344099.txt : 20111216 0001193125-11-344099.hdr.sgml : 20111216 20111216164932 ACCESSION NUMBER: 0001193125-11-344099 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 17 FILED AS OF DATE: 20111216 DATE AS OF CHANGE: 20111216 GROUP MEMBERS: ACMC, LLC GROUP MEMBERS: AXA GROUP MEMBERS: AXA AMERICA HOLDINGS, INC. GROUP MEMBERS: AXA AMERICAN CORPORATE SOLUTIONS INC. GROUP MEMBERS: AXA ASSURANCES I.A.R.D. MUTUELLE GROUP MEMBERS: AXA ASSURANCES VIE MUTUELLE GROUP MEMBERS: AXA EQUITABLE FINANCIAL SERVICES, LLC GROUP MEMBERS: AXA EQUITABLE LIFE INSURANCE CO GROUP MEMBERS: AXA FINANCIAL (BERMUDA) LTD. GROUP MEMBERS: AXA IM ROSE INC. GROUP MEMBERS: COLISEUM REINSURANCE CO GROUP MEMBERS: DENIS DUVERNE, AS AXA VOTING TRUSTEE GROUP MEMBERS: HENRI DE CASTRIES, AS AXA VOTING TRUSTEE GROUP MEMBERS: MARK PEARSON, AS AXA VOTING TRUSTEE GROUP MEMBERS: MONY LIFE INSURANCE CO GROUP MEMBERS: MONY LIFE INSURANCE CO OF AMERICA SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42546 FILM NUMBER: 111266981 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 FILED BY: 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: SC 13D/A 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 SC 13D/A 1 d269056dsc13da.htm AMENDMENT NO. 16 TO SCHEDULE 13D Amendment No. 16 to Schedule 13D

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 16)

 

 

ALLIANCEBERNSTEIN HOLDING L.P.

(f/k/a Alliance Capital Management Holding L.P.) (Name of Issuer)

 

 

Units Representing Assignments of Beneficial Ownership of Limited Partnership Interests

(Title of Class of Securities)

01855A101

(CUSIP Number)

Alvin H. Fenichel

Senior Vice President and Chief Accounting Officer

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:

George Stansfield, General Counsel

AXA, 25, avenue Matignon

75008 Paris, France

011-331-40-75-57-00

December 14, 2011

(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)


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

AXA

98-0342809

  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

 

France

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

See Item 5

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

See Item 5

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

HC, CO


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

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)

 

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

 

France

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

See Item 5

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

See Item 5

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC

 

2


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

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)

 

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

 

France

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

See Item 5

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

See Item 5

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC

 

3


CUSIP No. 01855A101  

 

  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 the Republic of France

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

See Item 5

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

See Item 5

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IN

 

4


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

Denis Duverne, 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 the Republic of France

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

See Item 5

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

See Item 5

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IN

 

5


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

Mark Pearson, 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 the United Kingdom

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

See Item 5

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

See Item 5

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IN

 

6


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

AXA America Holdings, Inc.

90-0226248

  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

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - See Item 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

HC, CO

 

7


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

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)

 

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

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - See Item 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

HC, CO

 

8


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

AXA Equitable 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)

 

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

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - See Item 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)

 

1.4% - See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

HC, OO

 

9


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

AXA Equitable Life Insurance Company

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)

 

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

 

New York

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Items 4 and 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Items 4 and 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Items 4 and 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC, CO

 

10


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

ACMC, LLC

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)

 

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

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

1,444,356 - See Items 4 and 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

1,444,356 - See Items 4 and 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

1,444,356 - 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)

 

1.4% - See Items 4 and 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

CO

 

11


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

AXA Financial (Bermuda) Ltd.

14-1903564

  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

 

Bermuda

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

See Item 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)

 

See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC, CO

 

12


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

AXA AMERICA CORPORATE SOLUTIONS, INC.

36-3044045

  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

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

See Item 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)

 

See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC, CO

 

13


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

COLISEUM REINSURANCE COMPANY

36-2994662

  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

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

See Item 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)

 

See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC, CO

 

14


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

MONY Life Insurance Company

13-1632487

  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

 

New York

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

See Item 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)

 

See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC, CO

 

15


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)

MONY Life Insurance Company of America

86-0222062

  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

 

Arizona

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

See Item 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)

 

See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

IC, CO

 

16


CUSIP No. 01855A101  

 

  1   

NAMES OF REPORTING PERSONS

 

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

AXA IM ROSE INC.

22-3624513

  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

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

     7    

SOLE VOTING POWER

 

See Item 5

     8   

SHARED VOTING POWER

 

     9   

SOLE DISPOSITIVE POWER

 

See Item 5

   10   

SHARED DISPOSITIVE POWER

 

11

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

See Item 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)

 

See Item 5

14

 

TYPE OF REPORTING PERSON (See Instructions)

 

HC, CO

 

17


This Amendment No. 16 amends the Statement on Schedule 13D (“Schedule 13D”) initially filed on August 4, 1992 with the Securities and Exchange Commission by AXA, Midi Participations, Finaxa, the Mutuelles AXA (as herein defined) and the Trustees of a Voting Trust (established pursuant to the Voting Trust Agreement dated as of May 12, 1992 (the “Original Voting Trust Agreement”)), as amended by Amendment No. 1 to the Schedule 13D filed on July 29, 1993 (“Amendment No. 1”), Amendment No. 2 to the Schedule 13D filed on September 14, 1994 (“Amendment No. 2”), Amendment No. 3 to the Schedule 13D filed on October 22, 1996 (“Amendment No. 3”), Amendment No. 4 to the Schedule 13D filed on July 11, 1997 (“Amendment No. 4”), Amendment No. 5 to the Schedule 13D filed on September 4, 1997 (“Amendment No. 5”), Amendment No. 6 to the Schedule 13D filed on April 9, 1999 (“Amendment No. 6”), Amendment No. 7 to the Schedule 13D filed on November 4, 1999 (“Amendment No. 7”), Amendment No. 8 to the Schedule 13D filed on June 23, 2000 (“Amendment No. 8”), Amendment No. 9 to the Schedule 13D filed on November 27, 2002 (“Amendment No. 9”), and Amendment No. 10 to the Schedule 13D filed on March 9, 2004 (“Amendment No. 10”), Amendment No. 11 to the Schedule 13D filed on December 22, 2004 (“Amendment No.11”), Amendment No. 12 to the Schedule 13D filed on March 7, 2007 (“Amendment No. 12”), Amendment No. 13 to the Schedule 13D filed on December 19, 2008 (“Amendment No. 13”), Amendment No. 14 to the Schedule 13D filed on January 8, 2009 (“Amendment No. 14”) and Amendment No. 15 to the Schedule 13D filed on April 1, 2009 (“Amendment No. 15”), each of which was filed by AXA, Midi Participations (except as to Amendment Nos. 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14 and 15), Finaxa (except as to Amendment Nos. 12, 13, 14 and 15), the Mutuelles AXA, the Trustees, AXA Financial, Inc. (formerly known as The Equitable Companies Incorporated) (“AXF”), AXA Equitable Life Insurance Company (f/k/a The Equitable Life Assurance Society of the United States) (“AXA Equitable”), Equitable Holding Corporation (which was merged in 1997 into Equitable Holdings, LLC) (except for Amendments No. 14 and 15), Equitable Investment Corporation (which was merged in November 1999 into Equitable Holdings, LLC) (except for Amendments No. 14 and 15), ACMC, LLC and ECMC, LLC (except for Amendment Nos. 14 and 15) (successor by merger to Equitable Capital Management Corporation), which Schedule 13D relates to units (“Units”) representing assignments of beneficial ownership of limited partnership interests of AllianceBernstein Holding L.P. (formerly known as Alliance Capital Management Holding L.P.), a Delaware limited partnership (“AB Holding”).

 

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, a company organized under the laws of France, (ii) AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle, two mutual insurance companies organized under the laws of France (the “Mutuelles AXA”), (iii) Mark Pearson (President and Chief Executive Officer of AXF and member of the Executive Committee of AXA), Henri de Castries (Chairman of the Board and Chief Executive Officer of AXA) and Denis Duverne (member of the Board and Deputy Chief Executive Officer 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”), (iv) AXA America Holdings, Inc., a Delaware corporation (“AXA America”), (v) AXF, a Delaware corporation, (vi) AXA Equitable Financial Services, LLC (formerly known as AXA Client Solutions, LLC and AXA Financial Services, LLC), a Delaware limited liability company whose sole member is AXF (“AXFS”), (vii) AXA Equitable, a New York stock life insurance company, which is wholly owned by AXF (viii) ACMC, LLC, a Delaware limited liability company (“ACMC”), (ix) AXA Financial (Bermuda) Ltd., a Bermuda corporation, which is wholly owned by AXFS (“AXA Bermuda”), (x) AXA America Corporate Solutions, Inc., a Delaware

 

18


corporation, which is a wholly owned subsidiary of AXA America (“AACS”), (xi) Coliseum Reinsurance Company, a Delaware corporation, which is a wholly owned subsidiary of AACS (“Coliseum”), (xii) MONY Life Insurance Company, a New York stock life insurance company, which is a wholly owned subsidiary of AXFS (“MONY Life”), (xiii) MONY Life Insurance Company of America, an Arizona stock life insurance company, which is a wholly owned subsidiary of MONY Life (“MLOA”) and (xiv) AXA IM Rose Inc., a Delaware corporation, which is an indirect wholly owned subsidiary of AXA (“AXA IM Rose”). AXA, the Mutuelles AXA, the Trustees, AXA America, AXF, AXFS, AXA Equitable, ACMC, AXA Bermuda, AACS, Coliseum, MONY Life, MLOA and AXA IM Rose 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, including each of the Reporting Persons. The address of AXA’s principal business and office is 25, avenue Matignon, 75008 Paris, France. As of December 31, 2010, the Mutuelles AXA, directly beneficially owned 13.94% of AXA’s ordinary shares (representing 21.88% of the voting power). In addition, as of December 31, 2010, 0.75% of the ordinary shares of AXA without the power to vote were owned by certain subsidiaries of AXA.

Finaxa. Finaxa was a holding company, which was majority owned by the Mutuelles AXA. Finaxa was merged into AXA as of December 16, 2005.

The Mutuelles AXA. The Mutuelles AXA are AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle. AXA Courtage Assurance Mutuelle was merged into AXA Assurances I.A.R.D Mutuelle as of December 31, 2006. 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 place of business and office is 26, rue Drouot, 75009 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 all of the Trustees is set forth on Exhibit 1 hereto since the Trustees are members of the Board and/or Executive Committee of AXA.

AXA America and Subsidiaries. AXA America is a holding company for a group of insurance and related financial service companies, including (i) AXF and its subsidiaries and (ii) AACS and its wholly owned subsidiary, Coliseum. The address of AXA America’s principal place of business and office is 1290 Avenue of the Americas, New York, New York 10104. The address of each of AACS’s and Coliseum’s principal place of business and office is 17 State Street, New York, New York 10004.

AXF and Subsidiaries. AXF is a holding company. As of September 30, 2011, 100% of the outstanding shares of common stock of AXF were beneficially owned indirectly by AXA. AXF and its subsidiaries (including AXA Equitable, MONY Life and MLOA, each 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 (i) AXA Equitable, which in turn wholly owns ACMC, (ii) AXA Bermuda, and (iii) MONY Life, which in turn wholly owns MLOA. ACMC, AXFS and AXF are holding companies. The address of the principal place of business and office of AXF, AXFS, AXA Equitable, ACMC, MONY Life, and MLOA is 1290 Avenue of the Americas, New York, New York 10104.

 

19


MONY Holdings, LLC. MONY Holdings, LLC was a Delaware Limited liability company, whose sole member was AXF. MONY Holdings, LLC was merged into AXFS as of November 30, 2007.

AXA IM Rose. AXA IM Rose is a holding company for a group of asset management companies. The address of AXA IM Rose’s principal place of business and office is One Fawcett Place, Greenwich, CT 06830.

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 7 and 14 through 20 hereto. None of the Reporting Persons nor, to the knowledge of any Reporting Person, any natural person named in Exhibits 1 through 7 and 14 through 20 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.

See Item 4.

 

ITEM 4. PURPOSE OF TRANSACTION

Item 4 of the Schedule 13D is hereby amended by inserting the following paragraph at the end thereof.

On December 14, 2011, AXA Equitable contributed 722,178 units representing assignment of beneficial ownership in AllianceBernstein Holding L.P. (“Units”) and 29,100,290 units of limited partnership interests of AllianceBernstein L.P. (“AB Capital Units”) to ACMC, its wholly owned subsidiary.

The transfer of Units and AB Capital Units by AXA Equitable to ACMC described above is an internal transfer within AXA and its affiliates (the “AXA Group”) for capital management purposes that does not change the aggregate holdings of Units and/or AB Capital Units by the AXA Group.

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.

 

20


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 December 14, 2011 and immediately following the transactions described in Item 4 above, AXA America did not beneficially own directly any Units or AB Capital Units; AXF did not beneficially own directly any Units or AB Capital Units; AXA Equitable did not beneficially own directly any Units or AB Capital Units; ACMC beneficially owned directly 1,444,356 Units representing approximately 1.4% of the Units outstanding and 95,321,112 AB Capital Units representing approximately 34.3% of the AB Capital Units outstanding; AXA Bermuda did not beneficially own directly any Units and beneficially owned directly 15,276,937 AB Capital Units representing approximately 5.5% of the AB Capital Units outstanding; AACS did not beneficially own directly any Units or AB Capital Units; Coliseum did not beneficially own directly any Units and beneficially owned directly 8,160,000 AB Capital Units representing approximately 2.9% of the AB Capital Units outstanding; MONY Life did not beneficially own directly any Units and beneficially owned directly 6,841,642 AB Capital Units representing approximately 2.5% of the AB Capital Units outstanding; MLOA did not beneficially own directly any Units and beneficially owned directly 2,587,472 AB Capital Units representing approximately 0.9% of the AB Capital Units outstanding; and AXA IM Rose did not beneficially own directly any Units and beneficially owned directly 41,934,582 AB Capital Units representing approximately 15.1% of the AB Capital Units outstanding. ACMC, AXA Bermuda, AACS, Coliseum, MONY Life, MLOA and AXA IM Rose 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 directly owned Units and AB Capital Units. By reason of its ownership interest in AXF, AXFS, ACMC, AXA Bermuda, AXA Equitable, MONY Life, MLOA and Coliseum, AXA America may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to the 1,444,356 Units owned directly by ACMC representing approximately 1.4% of the Units outstanding, and the 95,321,112 AB Capital Units owned directly by ACMC, the 15,276,937 AB Capital Units owned directly by AXA Bermuda, the 8,160,000 AB Capital Units owned directly by Coliseum, the 6,841,642 AB Capital Units owned directly by MONY Life and the 2,587,472 AB Capital Units owned directly by MLOA, which collectively represent approximately 46.1% of the AB Capital Units outstanding. By reason of its ownership interest in AXFS, ACMC, AXA Equitable, AXA Bermuda, MLOA and MONY Life, AXF may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to the 1,444,356 Units owned directly by ACMC representing approximately 1.4% of the Units outstanding, and the 95,321,112 AB Capital Units owned directly by ACMC, the 15,276,937 AB Capital Units owned directly by AXA Bermuda, the 6,841,642 AB Capital Units owned directly by MONY Life, and the 2,587,472 AB Capital Units owned directly by MLOA, which collectively represent approximately 43.2% of the AB Capital Units outstanding. By reason of its ownership interest in ACMC, AXA Equitable may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to, the 1,444,356 Units owned directly by ACMC representing approximately 1.4% of the Units outstanding, and the 95,321,112 AB Capital Units owned directly by ACMC representing 34.3% of the AB Capital Units outstanding. By reason of its ownership interest in ACMC, AXA Bermuda, AXA Equitable, MONY Life and MLOA, AXFS may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to, the 1,444,356 Units owned directly by ACMC representing approximately 1.4% of the Units outstanding, and the 95,321,112 AB Capital Units owned directly by ACMC, the 15,276,937 AB Capital Units owned directly by AXA Bermuda, the 6,841,642 AB Capital Units owned directly by MONY Life and the 2,587,472 AB Capital Units owned directly by MLOA which collectively represent approximately 43.2% of the AB Capital Units outstanding. By reason of its ownership interest in MLOA, MONY Life may be deemed to beneficially own indirectly, and to have voting and dispositive power with respect to, the 2,587,472 AB Capital Units owned directly by MLOA, which, together with the 6,841,642 AB Capital Units owned directly by MONY Life, represent approximately 3.4% of the AB Capital Units outstanding.

(This excludes Units acquired by the Reporting Persons and their affiliates solely for investment purposes on behalf of client discretionary accounts.)

 

21


AXA, by reason of its indirect ownership of 100% of the outstanding shares of common stock of AXA America and AXA IM Rose, may be deemed to beneficially own all of the Units and AB Capital Units owned directly and indirectly by AXA America and AXA IM Rose. By reason of the Voting Trust Agreement and their relationship with AXA and the Mutuelles AXA, the Trustees individually may also be deemed to be beneficial owners of such Units and AB Capital Units. In addition, the Mutuelles AXA, as a group, may be deemed to be beneficial owners of such Units and AB Capital Units. Each of AXA, 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 AB Capital Units.

To the knowledge of the Reporting Persons, the following directors and executive officers of the Reporting Persons listed in Exhibits 1 through 7 and 14 through 20 hereto beneficially own the following number of outstanding Units and options or other rights to acquire Units presently or within 60 days:

 

Henri de Castries

   2,000 Units

Denis Duverne

   2,000 Units

Peter S. Kraus

   2,164,302 Units

Lorie A. Slutsky

   50,350 Units (includes 42,175 Units which Ms. Slutsky may acquire within 60 days under AllianceBernstein Option Plans)

Peter J. Tobin

   54,812 Units (includes 47, 425 Units which Mr. Tobin may acquire within 60 days under AllianceBernstein Option Plans)

To the knowledge of the Reporting Persons, none of the Directors and Executive officers listed in Exhibits 1 through 7 and 14 through 20 own any AB Capital Units.

Other than as described above and in Item 4 above, none of the Reporting Persons beneficially owns any Units or AB Capital Units or options or other rights to acquire Units or AB 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 7 and 14 through 20 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 AB Units were made by the Reporting Persons, or, to the knowledge of the Reporting Persons, any natural person named in Exhibits 1 through 7 and 14 through 20 hereto.

 

ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER

See response to Item 4

 

22


ITEM 7. MATERIAL TO BE FILED AS EXHIBITS

 

Exhibit 1    Information with respect to the Executive Officers and Directors of AXA

 

Exhibit 2    Information with respect to the Executive Officers and Directors of AXA Assurances I.A.R.D. Mutuelle
Exhibit 3    Information with respect to the Executive Officers of AXA Assurances Vie Mutuelle and Members of AXA Assurances Vie Mutuelle’s Conseil d’Administration
Exhibit 4    Information with respect to the Executive Officers and Directors of AXA Financial, Inc. (which is the sole member of AXA Equitable Financial Services, LLC)
Exhibit 5    Information with respect to the Executive Officers and Directors of AXA Equitable Financial Services, LLC
Exhibit 6    Information with respect to the Executive Officers and Directors of AXA Equitable Life Insurance Company
Exhibit 7    Information with respect to the Executive Officers and Directors of ACMC, LLC
Exhibit 8    Filing Agreement with respect to the Schedule 13D among the Reporting Persons (incorporated by reference to Exhibit 17 of the Schedule 13D filed on August 4, 1992)
Exhibit 9    Amended and Restated Voting Trust Agreement, dated as of May 12, 2002 (incorporated by reference to Exhibit 15 filed with Amendment No. 9 to Schedule 13D filed on November 27, 2002)
Exhibit 10    Powers of Attorney for the Voting Trustees, dated July 5, 2002 with respect to Henri de Castries (incorporated by reference to Exhibit 19 filed with Amendment No. 9 to the Schedule 13D filed on November 27, 2002)
Exhibit 11    Power of Attorney for the Voting Trustee, Denis Duverne, dated March 5, 2007 (incorporated by reference to Exhibit 23 filed with Amendment No. 12 to the Schedule 13D filed on March 7, 2007
Exhibit 12    Power of Attorney for the Voting Trustee, Mark Pearson, dated November 29, 2011
Exhibit 13    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 with respect to the AB Capital Units)
Exhibit 14    Information with respect to the Executive Officers and Directors of AXA Financial (Bermuda) Ltd.
Exhibit 15    Information with respect to the Executive Officers and Directors of MONY Life Insurance Company
Exhibit 16    Information with respect to the Executive Officers and Directors of MONY Life Insurance Company of America
Exhibit 17    Information with respect to the Executive Officers and Directors of AXA America Holdings, Inc.
Exhibit 18    Information with respect to the Executive Officers and Directors of AXA America Corporate Solutions, Inc.

 

23


Exhibit 19    Information with respect to the Executive Officers and Directors of Coliseum Reinsurance Company
Exhibit 20    Information with respect to the Executive Officers and Directors of AXA IM Rose Inc.
Exhibit 21    Powers of Attorney with respect to AXA America Corporate Solutions, Inc., Coliseum Reinsurance Company and AXA IM Rose Inc.

 

24


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: December 16, 2011

 

AXA
AXA ASSURANCES I.A.R.D. MUTUELLE
AXA ASSURANCES VIE MUTUELLE
HENRI DE CASTRIES, DENIS DUVERNE, AND MARK PEARSON AS AXA VOTING TRUSTEES UNDER THE VOTING TRUST AGREEMENT
AXA AMERICA CORPORATE SOLUTIONS, INC.
COLISEUM REINSURANCE COMPANY
AXA IM ROSE INC.
By:   /s/    ALVIN H. FENICHEL         
Name:   Alvin H. Fenichel
Title:   Attorney-in-Fact

 


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: December 16, 2011

 

AXA AMERICA HOLDINGS, INC.
By:   /s/    RICHARD S. DZIADZIO        
Name:   Richard S. Dziadzio
Title:   Executive Vice President

 


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: December 16, 2011

 

AXA FINANCIAL, INC.
By:   /s/    ALVIN H. FENICHEL        
Name:   Alvin H. Fenichel
Title:   Senior Vice President and Chief Accounting Officer

 


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: December 16, 2011

 

AXA EQUITABLE FINANCIAL SERVICES, LLC
By:   /s/    ALVIN H. FENICHEL        
Name:   Alvin H. Fenichel
Title:   Senior Vice President and Chief Accounting Officer

 


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: December 16, 2011

 

AXA EQUITABLE LIFE INSURANCE COMPANY
By:   /s/    ALVIN H. FENICHEL        
Name:   Alvin H. Fenichel
Title:   Senior Vice President and Chief Accounting Officer

 


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: December 16, 2011

 

ACMC, LLC
By:   /s/    RICHARD S. DZIADZIO        
Name:   Richard S. Dziadzio
Title:   Chairman, President and Chief Executive Officer

 


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: December 16, 2011

 

AXA FINANCIAL (BERMUDA) LTD.
By:   /s/    RICHARD S. DZIADZIO        
Name:   Richard S. Dziadzio
Title:   Chairman of the Board

 


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: December 16, 2011

 

MONY LIFE INSURANCE COMPANY
By   /s/    ALVIN H. FENICHEL        
Name:   Alvin H. Fenichel
Title:   Senior Vice President and Chief Accounting Officer

 


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: December 16, 2011

 

MONY LIFE INSURANCE COMPANY OF AMERICA
By   /s/    ALVIN H. FENICHEL        
Name:   Alvin H. Fenichel
Title:   Senior Vice President and Chief Accounting Officer

 

EX-99.1 2 d269056dex991.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF AXA Information with respect to the Executive Officers and Directors of AXA

Exhibit 1

MEMBERS OF THE BOARD AND THE EXECUTIVE OFFICERS

OF

AXA

The names of the Members of the Board and the Executive Officers of AXA and their business addresses and principal occupations are set forth below. If no address is given, the Member’s business address is that of AXA at 25, avenue Matignon, 75008 Paris, France. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA and each individual is a citizen of the Republic of France.

MEMBERS OF THE BOARD OF DIRECTORS

 

Name, Business Address

  

Present Principal Occupation

Henri de Castries    Chairman of the Board of Directors and Chief Executive Officer
Chairman of the Board, AXA Financial, Inc.
Norbert Dentressangle
Dentressangle Initiatives
30bis, rue Sainte Hélène
69287 Lyon Cedex 02
France
   Vice-Chairman of the Board of Directors, Lead Independent Director
Chairman of Financière de Cuzieu (SAS) (France)
Denis Duverne    Deputy Chief Executive Officer, in charge of Finance, Strategy and Operations
Jacques de Chateauvieux
BOURBON
33, rue du Louvre
75002 Paris
France
   Chairman of the Board of Directors of BOURBON (France)
Ms. Wendy Cooper (1)
AXA Equitable Life Insurance Company
1290 Avenue of the Americas
New York, NY 10104
USA
  

Member of the Board of Directors, representing the employee-shareholders

Senior Vice President & Associate General Counsel, AXA Equitable Life Insurance Company

Jean-Martin Folz
AFEP
11, avenue Delcasse
75008 Paris
France
   Companies’ director


Name, Business Address

  

Present Principal Occupation

Anthony Hamilton (4)
AXA UK plc
5 Old Broad Street
London ECN 1AD
UK
   Non Executive Chairman, AXA UK plc and AXA Equity and Law (UK)
Mrs. Isabelle Kocher
GDF SUEZ
Tour T1 - 35
ème étage
1, place Samuel de Champlain
Faubourg de l’Arche
92400 Courbevoie
France
   Executive Vice-President, Chief Financial Officer, GDF SUEZ (France)
Mrs. Suet Fern Lee (2)
Stamford Law Corporation
10 Collyer Quay
#27-00
Ocean Financial Centre
Singapore 049315
Singapore
   Senior Director, Stamford Law Corporation (Singapore)
Francois Martneau
282, boulevard Saint Germain
75007 Paris
France
  

Attorney at law (France)

Managing Partner of SCP Lussan & Associés

Giuseppe Mussari (5)
Piazza Salimbeni, 3
53100 Siena
Italy
   Chairman of the Board, Banca Monte de Paschi di Siena S.p.A (Italy)
Ramon de Oliveira
ROC Partners
580 Park Avenue
New York, NY 10065
USA
   Managing Director of ROC Partners (United States)

 

2


Name, Business Address

  

Present Principal Occupation

Michel Pébereau
BNP Paribas
3 Rue d’Antin
75002 Paris
France
   Chairman of the Board of Directors, BNP Paribas (France)
Mrs. Dominique Reiniche
The Coca Cola Company
27 rue Camille Desmoulins
92784 Issy-les Moulineaux
Cedex 9
France
   Chairman Europe, The Coca-Cola Company (France)
Marcus Schenk (3)
E-ON AG
E.ON—Platz 1
10479 Düsseldorf
Germany
   Member of the Management Board and Chief Financial Officer, E.ON AG (Germany)

EXECUTIVE OFFICERS

Members of the AXA Executive Committee

 

Name, Business Address

  

Present Principal Occupation

Henri de Castries    Chairman of the Board and Chief Executive Officer
Denis Duverne    Deputy Chief Executive Officer in charge of Finance, Strategy and Operations
Michael Bishop (4)
AXA China Region Limited
One Island East
18 Westlands Road
Quarry Bay
Hong Kong
   Chief Executive Officer of AXA Asia

 

3


Name, Business Address

  

Present Principal Occupation

Dominique Carrel-Billiard
AXA Investment Managers
Coeur Défense
100 Esplanade du Général de Gaulle
92932 Paris La Défense
France
   Chief Executive Officer of AXA Investment Managers
John R. Dacey (1)    Vice-Chairman for Asia Pacific
Philippe Egger (6)
AXA Winterhur Switzerland
General Guisan-Strasse 40
8401 Winterthur
Switzerland
   Chief Executive Officer of Insurance activities in Switzerland
Paul Evans (4)
AXA UK plc
5 Old Broad Street
London ECN 1AD
United Kingdom
   Chief Executive Officer of AXA UK
Jean-Laurent Granier
AXA
9, avenue de Messine
75008 Paris
France
   Chief Executive Officer of the Mediterranean and
Latin America region business unit
Gérald Harlin    Group Chief Financial Officer
Frank Keuper (3)
AXA Konzern AG
Colonia-Allee 10-20
51067 Köln
Germany
   Chief Executive Officer of AXA Konzern AG
Peter Kraus (1)
AllianceBernstein
1345 Avenue of the Americas
New York, NY 10105
   Chairman and Chief Executive Officer of AllianceBernstein (United States)

 

4


Name, Business Address

  

Present Principal Occupation

Jean-Louis Laurent Josi (7)
AXA Life Insurance Japan
NBF Platinum Tower
1-17-3 Shirokane
Minato-ku
Tokyo 108-8020
Japan
   Chief Executive Officer of AXA Japan
Nicolas Moreau
AXA France
313, Terrasses de l’Arche
Terrasse 1
92727 Nanterre Cedex
France
   Chief Executive Officer of AXA France
Mark Pearson (4)
AXA Financial, Inc.
1290 Avenue of the Americas
New York, NY 10104
  

President and Chief Executive Officer, AXA Financial, Inc.

Chairman and Chief Executive Officer, AXA Equitable Life Insurance Company

Francois Pierson
AXA Global P&C
9, avenue de Messine
75008 Paris
France
   Global Head of Property and Casualty
George Stansfield (1)    AXA Group General Counsel and Head of Group Human Resources
Emmanuel de Talhouët
AXA Belgium SA
Boulevard du Souverain, 25
1170 Brussels
Belgium
   Chief Executive Officer of AXA Belgium
Jacques de Vaucleroy (7)
AXA Belgium SA
Boulevard du Souverain, 25
1170 Brussels
Belgium
   Chief Executive Officer for the Northern, Central and Eastern Europe business unit and Global Head of Life & Savings and Health
Mrs. Véronique Weill    Group Chief Operating Officer

 

(1) Citizen of the United States of America

 

5


(2) Citizen of Singapore
(3) Citizen of Germany
(4) Citizen of United Kingdom
(5) Citizen of Italy
(6) Citizen of Switzerland
(7) Citizen of Belgium

 

6

EX-99.2 3 d269056dex992.htm INFORMATION WITH RESPECT TO THE EXEC. OFFICERS AND DIRECTORS OF AXA ASSURANCES Information with respect to the Exec. Officers and Directors of AXA Assurances

Exhibit 2

MEMBERS OF THE BOARD AND THE EXECUTIVE OFFICERS

OF

AXA ASSURANCES IARD MUTUELLE

The names of the Members of the Board of Directors and of the Executive Officers of AXA Assurances IARD Mutuelle and their business addresses and principal occupations are set forth below. If no address is given, the Member’s or Executive Officer’s business address is that of AXA Assurances IARD Mutuelle at 313, Terrasses de l’Arche, 92727 Nanterre Cedex, France. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA Assurances IARD Mutuelle and each individual is a citizen of the Republic of France.

 

Name, Business Address

  

Present Principal Occupation

* Henri de Castries

AXA

25, avenue Matignon

75008 Paris

France

  

Chairman and Chief Executive officer, AXA

Chairman of the Board of Directors of AXA Assurances IARD Mutuelle

* Claube Bébéar

AXA

25, avenue Matignon

75008 Paris

France

   Honorary Chairman of the AXA Board of Directors

* ASSSE

represented by Jean-Pierre Chaffin

2, allée d’Autriche

91300 Massy

France

   Engineer and former French union officer (ancien responsable syndical au niveau national)

* Bertrand Eveno

10, boulevard Malesherbes

75008 Paris

France

   Manager of BPE Conseil

* Jacques Gobert

21, rue Gustave Nadaud

13012 Marseille

France

   Lawyer


* Philippe Guérand

SIER Constructeur

129, boulevard Pinel

69500 Bron

France

  

Chairman and Chief Executive Officer of Générale d’Investissements (SAS)

Chairman and Chief Executive Officer of SIER Constructeur

* Frédéric Lucet

Family Business Group

12, rue Auber

75009 Paris

France

   Manager of companies – Investment Adviser

* Octave Manset

75, rue de la Tour

75016 Paris

France

   Vice-Chairman of the Board of Directors of AXA Assurances IARD Mutuelle

* Mrs. Christiane Marcellier

JD4C Conseil

43, rue de Courcelles

75008 Paris

France

   Managing Partner of JD4C Conseil

* Alain de Marcellus

Cap Gemini

11, rue de Tilsit

75007 Paris

France

   Manager of Group Financial Services of Cap Gemini

* François Martineau

Lussan & Associés

282, boulevard Saint Germain

75007 Paris

France

  

Attorney at law (France)

Managing Partner of SCP Lussan & Associés

* Nicolas Moreau

   Chief Executive Officer of AXA France

* Francois Pierson

AXA Global P&C

9, avenue de Messine

75008 Paris

France

   Chairman and Chief Executive Officer, AXA Global P&C

* Olivier Riché

47, rue de Verneuil

75007 Paris

France

   Chief Executive Officer of Cofitem-Cofimur

 

2


Jacques de Peretti

   Chief Executive Officer - non Director of AXA Assurances IARD Mutuelle

 

* Director

 

3

EX-99.3 4 d269056dex993.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS OF AXA ASSURANCES Information with respect to the Executive Officers of AXA Assurances

Exhibit 3

EXECUTIVE OFFICERS AND

MEMBERS OF THE CONSEIL D’ADMINISTRATION

OF

AXA ASSURANCES VIE MUTUELLE

The names of the Members of the Conseil d’Administration and of the Executive Officers of AXA Assurances Vie Mutuelle and their business addresses and principal occupations are set forth below. If no address is given, the Member’s or Executive Officer’s business address is that of AXA Assurances Vie Mutuelle at 313, Terrasses de l’Arche, 92727 Nanterre Cedex, France. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA Assurances Vie Mutuelle and each individual is a citizen of the Republic of France.

 

Name, Business Address

  

Present Principal Occupation

* Henri de Castries

AXA

25, avenue Matignon

75008 Paris

France

  

Chairman and Chief Executive officer, AXA

Chairman of the Board of Directors of AXA Assurances Vie Mutuelle

* Claube Bébéar

AXA

25, avenue Matignon

75008 Paris

France

   Honorary Chairman of the AXA Board of Directors

* Jean-Louis Bertrand

9, rue du Castillet

BP 60137

66000 Perpignan

France

   General insurance agent

* ASSSE

represented by Jean-Pierre Chaffin

2, allée d’Autriche

91300 Massy

France

   Engineer and former French union officer (ancien responsable syndical au niveau national)

* Hubert Fabre

9, rue de Villersexel

75007 Paris

France

   Managing Partner of SCP Denis Rozès et Hubert Fabre


* Octave Manset

75, rue de la Tour

75016 Paris

France

   Vice-Chairman of the Board of Directors of AXA Assurances Vie Mutuelle

* Alain de Marcellus

Cap Gemini

11, rue de Tilsit

75007 Paris

France

   Manager of Group Financial Services of Cap Gemini

* François Martineau

Lussan & Associés

282, boulevard Saint Germain

75007 Paris

France

  

Attorney at law (France)

Managing Partner of SCP Lussan & Associés

* Nicolas Moreau

   Chief Executive Officer of AXA France

* Mrs Dominique Paillet

9, route de Vienne

38090 Vaulx-Milieu

France

   Retired nurse (infirmière long séjour retraitée)

* Francois Pierson

AXA Global P&C

9, avenue de Messine

75008 Paris

France

   Chairman and Chief Executive Officer, AXA Global P&C

* Jean-Claude Puerto Salavert

UCAR

10, rue Louis Pasteur

92100 Boulogne Billancourt

France

   Chairman and Chief Executive Officer of UCAR

* Olivier Riché

47, rue de Verneuil

75007 Paris

France

   Chief Executive Officer of Cofitem-Cofimur

Jacques de Peretti

   Chief Executive Officer - non Director of AXA Assurances Vie Mutuelle

 

* Director

 

2

EX-99.4 5 d269056dex994.htm INFORMATION WITH RESPECT TO THE EXEC. OFFICERS AND DIRECTORS OF AXA FINANCIAL Information with respect to the Exec. Officers and Directors of AXA Financial

Exhibit 4

EXECUTIVE OFFICERS AND DIRECTORS

OF

AXA FINANCIAL, INC.

The names of the Directors and the names and titles of the Executive Officers of AXA Financial, Inc. (“AXF”), which is the sole member of AXA Equitable Financial Services, LLC, and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of AXF at 1290 Avenue of the Americas, New York, New York 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXF and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*   Henri de Castries (1)
AXA
25, avenue Matignon
75008 Paris
France

  

Chairman of the Board and Chief Executive Officer, AXA

Chairman of the Board, AXF

*   Ramon de Oliveira (1)
580 Park Avenue
New York, NY 10065

   Managing Director, Investment Audit Practice, LLC

*   Denis Duverne (1)
AXA
25, avenue Matignon
75008 Paris
France

   Member of the Board and Deputy Chief Executive Officer, AXA

Richard S. Dziadzio

  

Senior Executive Vice President and Chief Financial Officer

Senior Executive Vice President and Chief Financial Officer, AXA Equitable

*   Charlynn Goins
30 Beekman Place
New York, NY 10022

   Chairman of the Board (Distribution Committee), The New York Community Trust (community foundation)

*   Dan Hale
900 20th Avenue South
Unit 1411
Nashville, TN 37212

   Former SVP and Chief Financial Officer, Allstate Corporation


Name, Business Address

  

Present Principal Occupation

*   Anthony J. Hamilton (2)
5 Old Broad St.
London
England ECN 1AD

   Non-Executive Chairman, AXA UK plc (life and plc insurance)

*   James F. Higgins
Morgan Stanley
Harborside Financial Center
Plaza Two, Second Floor
Jersey City, NJ 07311

   Director, Morgan Stanley Fund Family (financial services)

*   Peter S. Kraus
AllianceBernstein
1345 Avenue of Americas
New York, NY 10105

   Chairman of the Board and Chief Executive Officer AllianceBernstein Holding L.P.

Nick Lane

  

Senior Executive Vice President and President,

Retirement Savings

Senior Executive Vice President and President,

Retirement Savings, AXA Equitable Life Insurance Company

*   Andrew J. McMahon

  

Senior Executive Vice President and President, Financial Protection and Wealth Management

President, AXA Equitable Life Insurance Company

*   Scott D. Miller
315 East Hopkins Ave
Aspen, CO 81611

   Chief Executive Officer, SSA & Company (productivity and business transformation training)

*   Mark Pearson (2)

  

President and Chief Executive Officer

Chairman of the Board and Chief Executive Officer, AXA Equitable Life Insurance Company

Salvatore Piazzolla (3)

  

Senior Executive Vice President

Senior Executive Vice President—Head of Human Resources, AXA Equitable Life Insurance Company

Richard V. Silver

  

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer, AXA Equitable Life Insurance Company

 

2


Name, Business Address

  

Present Principal Occupation

*   Lorie A. Slutsky
909 Third Avenue
New York, NY 10022

   President and Chief Executive Officer, The New York Community Trust (community foundation)

*   Ezra Suleiman
Corwin Hall
Princeton, NJ 08544

   Professor of Politics and IBM Professor of International Studies, Princeton University (education)

*   Peter J. Tobin
1 Briarwood Lane
Denville, NJ 07834

   Former Special Assistant to the President, St. John’s University (education)

*   Richard C. Vaughan
764 Lynnmore Lane
Naples, FL 34108-7522

   Former Executive Vice President and Chief Financial Officer, Lincoln Financial Group

 

* Director
(1) Citizen of the Republic of France
(2) Citizen of the United Kingdom
(3) Citizen of Italy

 

3

EX-99.5 6 d269056dex995.htm INFORMATION WITH RESPECT TO THE EXEC. OFFICERS AND DIRECTORS OF AXA EQUITABLE Information with respect to the Exec. Officers and Directors of AXA Equitable

Exhibit 5

EXECUTIVE OFFICERS AND DIRECTORS

OF

AXA EQUITABLE FINANCIAL SERVICES, LLC

The names of the Directors and the names and titles of the Executive Officers of AXA Equitable Financial Services, LLC (“AXA Equitable Financial”) and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is 1290 Avenue of the Americas, New York, New York 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA Equitable Financial and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Mark Pearson (1)

  

Chairman of the Board and Chief Executive Officer

Chairman of the Board and Chief Executive Officer, AXA Equitable Life Insurance Company

*  Andrew J. McMahon

  

President

President, AXA Equitable Life Insurance Company

*  Richard V. Silver

  

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer, AXA Equitable Life Insurance Company

     Richard S. Dziadzio

  

Senior Executive Vice President and Chief Financial Officer

Senior Executive Vice President and Chief Financial Officer, AXA Equitable Life Insurance Company

     Nick Lane

  

Senior Executive Vice President and President, Retirement Savings

Senior Executive Vice President and President, Retirement Savings, AXA Equitable Life Insurance Company

     Salvatore Piazzolla (2)

  

Senior Executive Vice President

Senior Executive Vice President - Head of Human Resources, AXA Equitable Life Insurance Company

 

* Director
(1) Citizen of the United Kingdom
(2) Citizen of Italy
EX-99.6 7 d269056dex996.htm INFORMATION WITH RESPECT TO THE EXEC OFFICERS AND DIRECTORS OF AXA EQUITABLE Information with respect to the Exec Officers and Directors of AXA Equitable

Exhibit 6

EXECUTIVE OFFICERS AND DIRECTORS

OF

AXA EQUITABLE LIFE INSURANCE COMPANY

The names of the Directors and the names and titles of the Executive Officers of AXA Equitable Life Insurance Company (“AXA Equitable”), which is the sole member of Equitable Holdings, LLC, and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of AXA Equitable at 1290 Avenue of the Americas, New York, New York 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA Equitable and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Henri de Castries (1)

     AXA

     25, avenue Matignon

     75008 Paris, France

  

Chairman of the Board and Chief Executive Officer, AXA

Chairman of the Board, AXA Financial, Inc.

*  Ramon de Oliveira (1)

     580 Park Avenue New

     York, NY 10065

   Managing Director, Investment Audit Practice, LLC

*  Denis Duverne (1)

     AXA

     25, avenue Matignon

     75008 Paris, France

   Member of the Board and Deputy Chief Executive Officer, AXA

     Richard S. Dziadzio

  

Senior Executive Vice President and Chief Financial Officer

Senior Executive Vice President and Chief Financial Officer, AXA Financial, Inc.

*  Charlynn Goins

     30 Beekman Place

     New York, NY 10022

   Chairman of the Board (Distribution Committee), The New York Community Trust (community foundation)

*  Dan Hale

     900 20th Avenue South

     Unit 1411

     Nashville, TN 37212

   Former SVP and Chief Financial Officer, Allstate Corporation

*  Anthony J. Hamilton (2)

     5 Old Broad St.

     London, England ECN 1AD

   Non Executive Chairman, AXA UK plc (life and plc insurance)


Name, Business Address

  

Present Principal Occupation

*  James F. Higgins
Morgan Stanley
Harborside Financial Center
Plaza Two, Second Floor
Jersey City, NJ 07311

   Director, Morgan Stanley Fund Family (financial services)

*  Peter S.Kraus
AllianceBernstein
1345 Avenue of Americas
New York, NY 10105

   Chairman of the Board and Chief Executive Officer AllianceBernstein Holding L.P.

     Nick Lane

  

Senior Executive Vice President and President, Retirement Savings

Senior Executive Vice President and President, Retirement Savings, AXA Financial, Inc.

*  Andrew J. McMahon

  

President

Senior Executive Vice President and President, Financial Protection and Wealth Management, AXA Financial, Inc.

*  Scott D. Miller
315 East Hopkins Ave
Aspen, CO 81611

   Chief Executive Officer, SSA & Company (productivity and business transformation training)

*  Mark Pearson (2)

  

Chairman of the Board and Chief Executive Officer

President and Chief Executive Officer, AXA Financial, Inc.

     Salvatore Piazzolla (3)

  

Senior Executive Vice President - Head of Human Resources

Senior Executive Vice President, AXA Financial, Inc.

     Richard V. Silver

  

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer, AXA Financial, Inc.

*  Lorie A. Slutsky
909 Third Avenue
New York, NY 10022

   President and Chief Executive Officer, The New York Community Trust (community foundation)

*  Ezra Suleiman
Corwin Hall
Princeton, NJ 08544

   Professor of Politics and IBM Professor of International Studies, Princeton University (education)

 

2


Name, Business Address

  

Present Principal Occupation

*  Peter J. Tobin 1

    Briarwood Lane

    Denville, NJ 07834

   Former Special Assistant to the President, St. John’s University (education)

*  Richard C. Vaughan

    764 Lynnmore Lane

    Naples, FL 34108-7522

   Former Executive Vice President and Chief Financial Officer, Lincoln Financial Group

 

* Director
(1) Citizen of the Republic of France
(2) Citizen of the United Kingdom
(3) Citizen of Italy

 

3

EX-99.7 8 d269056dex997.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF ACMC, LLC Information with respect to the Executive Officers and Directors of ACMC, LLC

Exhibit 7

EXECUTIVE OFFICERS AND DIRECTORS

OF

ACMC, LLC

The names of the Directors and the names and titles of the Executive Officers of ACMC, LLC and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of ACMC, LLC at 1290 Avenue of the Americas, New York, New York, 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to ACMC, LLC and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

* Richard S. Dziadzio

  

Chairman of the Board, President and Chief Executive Officer

Senior Executive Vice President and Chief Financial Officer, AXA Equitable Life Insurance Company

 

* Director
EX-99.12 9 d269056dex9912.htm POWER OF ATTORNEY FOR THE VOTING TRUSTEE, MARK PEARSON Power of Attorney for the Voting Trustee, Mark Pearson

Exhibit 12

Power of Attorney

Mark Pearson, as a Voting Trustee (the “Trustee”), pursuant to the Amended and Restated Voting Trust Agreement dated as of May 12, 2002, by and among AXA, a société anonyme organized under the laws of the Republic of France, and the Voting Trustees identified therein, hereby constitutes and appoints each of Alvin H. Fenichel, Dave S. Hattem, Andrea Nitzan, Richard V. Silver, and Allen J. Zabusky, acting singly, as the true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for the Trustee and in the name, place and stead of the Trustee, in any and all capacities in which he might or could act as Trustee, to execute for and on behalf of the Trustee, all Schedules 13D, Schedules 13G, Forms 13F, Forms 3, Forms 4 and Forms 5 as required by the Securities Exchange Act of 1934, as amended, and any and all amendments or successor filings thereto, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, the issuer and relevant stock exchanges (individually, each a “Beneficial Ownership Filing”). The Trustee hereby grants to such attorneys-in-fact and agents of the Trustee full power and authority to do and perform each and every act and thing requisite and necessary to be done with respect to executing and filing Beneficial Ownership Filings, as fully to all intents and purposes as the Trustee might or could and hereby ratifies and confirms all that said attorneys-in-fact and agents of the Trustee or their substitute or substitutes may lawfully do or cause to be done by virtue hereof.

The undersigned acknowledges that the foregoing attorneys-in-fact and agents of the Trustee, in serving in such capacity at the request of the Trustee, are not assuming any of the Trustee’s responsibilities to comply with Section 13(d), 13(f) and 16 of the Securities Exchange Act of 1934.

The powers hereby conferred upon the said attorneys-in-fact and agents shall continue in force until notice of the revocation of this Power of Attorney has been received by the said attorneys-in-fact and agents of the Trustee.

IN WITNESS WHEREOF, the undersigned has hereunto subscribed this Power of Attorney this 29th day of November, 2011.

 

By:   /s/ Mark Pearson
  Name:   Mark Pearson
  Title:   Voting Trustee
EX-99.14 10 d269056dex9914.htm INFORMATION WITH RESPECT TO THE EXEC OFFICERS AND DIRECTORS OF AXA FINANCIAL Information with respect to the Exec Officers and Directors of AXA Financial

Exhibit 14

EXECUTIVE OFFICERS AND DIRECTORS

OF

AXA FINANCIAL (BERMUDA) LTD.

The names of the Directors and the names and titles of the Executive Officers of AXA Financial (Bermuda), Ltd. (“AXA Bermuda”) and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is 1290 Avenue of the Americas, New York, New York 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA Bermuda and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  William Casill

  

Vice President and Chief Operating Officer

Senior Vice President, AXA Equitable Life Insurance Company

*  Chris Dodds (1)

    11 Victoria Street

    Hamilton HM 11, Bermuda

   Assistant Vice President, Captive Solutions Marsh

*  Richard S. Dziadzio

  

Chairman of the Board

Senior Executive Vice President and Chief Financial Officer, AXA Equitable Life Insurance Company

*  Charles G.R. Collis (1)

    2, Church Street

    Hamilton HM 11, Bermuda

   Partner, Conyers Dill and Pearman

*  Charles A. Marino

  

Vice President

Executive Vice President and Chief Actuary, AXA Equitable Life Insurance Company

*  Bertrand Poupart-Lafarge (2)

  

President, Chief Executive Officer and Chief Financial Officer

Executive Vice President, Chief Investment Officer and Treasurer, AXA Equitable Life Insurance Company

 

* Director
(1) Citizen of the Bermuda
(2) Citizen of the Republic of France
EX-99.15 11 d269056dex9915.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF MONY LIFE Information with respect to the Executive Officers and Directors of MONY Life

Exhibit 15

EXECUTIVE OFFICERS AND DIRECTORS

OF

MONY LIFE INSURANCE COMPANY

The names of the Directors and the names and titles of the Executive Officers of MONY Life Insurance Company (“MONY Life”), and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of MONY Life at 1290 Avenue of the Americas, New York, New York 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to MONY Life and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Henri de Castries (1)

    AXA

    25, avenue Matignon

    75008 Paris, France

  

Chairman of the Board and Chief Executive Officer, AXA

Chairman of the Board, AXA Financial, Inc.

*  Ramon de Oliveira (1)

    580 Park Avenue

    New York, NY 10065

   Managing Director, Investment Audit Practice, LLC

*  Denis Duverne (1)

    AXA

    25, avenue Matignon

    75008 Paris, France

   Member of the Board and Deputy Chief Executive Officer, AXA
    Richard S. Dziadzio   

Senior Executive Vice President and Chief Financial Officer

Senior Executive Vice President and Chief Financial Officer, AXA Equitable Life Insurance Company

*  Charlynn Goins

    30 Beekman Place

    New York, NY 10022

   Chairman of the Board (Distribution Committee), The New York Community Trust (community foundation)

*  Dan Hale

    900 20th Avenue South

    Unit 1411

    Nashville, TN 37212

   Former SVP and Chief Financial Officer, Allstate Corporation

*  Anthony J. Hamilton (2)

    5 Old Broad St.

    London, England ECN 1AD

   Non Executive Chairman, AXA UK plc (life and plc insurance)


Name, Business Address

  

Present Principal Occupation

*  James F. Higgins

    Morgan Stanley

    Harborside Financial Center

    Plaza Two, Second Floor

    Jersey City, NJ 07311

   Director, Morgan Stanley Fund Family (financial services)

*  Peter S. Kraus

    AllianceBernstein

    1345 Avenue of Americas

    New York, NY 10105

  

Chairman of the Board and Chief Executive Officer, AllianceBernstein Holding L.P.

      Nick Lane

  

Senior Executive Vice President and President, Retirement Savings

Senior Executive Vice President and President, Retirement Savings, AXA Equitable Life Insurance Company

*  Andrew J. McMahon

  

President

President, AXA Equitable Life Insurance Company

*  Scott D. Miller

    315 East Hopkins Ave

    Aspen, CO 81611

   Chief Executive Officer, SSA & Company (productivity and business transformation training)

*  Mark Pearson (2)

  

Chairman of the Board and Chief Executive Officer

Chairman of the Board and Chief Executive Officer, AXA Equitable Life Insurance Company

      Salvatore Piazzolla (3)

  

Senior Executive Vice President

Senior Executive Vice President - Head of Human Resources, AXA Equitable Life Insurance Company

      Richard V. Silver

  

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer, AXA Equitable Life Insurance Company

*  Lorie A. Slutsky

    909 Third Avenue

    New York, NY 10022

   President and Chief Executive Officer, The New York Community Trust (community foundation)

*  Ezra Suleiman

    Corwin Hall

    Princeton, NJ 08544

   Professor of Politics and IBM Professor of International Studies, Princeton University (education)

 

2


Name, Business Address

  

Present Principal Occupation

*  Peter J. Tobin

    1 Briarwood Lane

    Denville, NJ 07834

   Former Special Assistant to the President, St. John’s University (education)

*  Richard C. Vaughan

    764 Lynnmore Lane

    Naples, FL 34108-7522

   Former Executive Vice President and Chief Financial Officer, Lincoln Financial Group

 

* Director
(1) Citizen of the Republic of France
(2) Citizen of the United Kingdom
(3) Citizen of Italy

 

3

EX-99.16 12 d269056dex9916.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF MLOA Information with respect to the Executive Officers and Directors of MLOA

Exhibit 16

EXECUTIVE OFFICERS AND DIRECTORS

OF

MONY LIFE INSURANCE COMPANY OF AMERICA

The names of the Directors and the names and titles of the Executive Officers of MONY Life Insurance Company of America (“MLOA”), and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of MLOA at 1290 Avenue of the Americas, New York, New York 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to MLOA and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Henri de Castries (1)
AXA
25, avenue Matignon
75008 Paris, France

  

Chairman of the Board and Chief Executive Officer, AXA

Chairman of the Board, AXA Financial, Inc.

*  Ramon de Oliveira (1)
580 Park Avenue
New York, NY 10065

   Managing Director, Investment Audit Practice, LLC

*  Denis Duverne (1)
AXA
25, avenue Matignon
75008 Paris, France

   Member of the Board and Deputy Chief Executive Officer, AXA

     Richard S. Dziadzio

  

Senior Executive Vice President and Chief Financial Officer

Senior Executive Vice President and Chief Financial Officer, AXA Equitable Life Insurance Company

*  Charlynn Goins
30 Beekman Place
New York, NY 10022

   Chairman of the Board (Distribution Committee), The New York Community Trust (community foundation)

*  Dan Hale
900 20th Avenue South
Unit 1411
Nashville, TN 37212

   Former SVP and Chief Financial Officer, Allstate Corporation

*  Anthony J. Hamilton (2)
5 Old Broad St.
London, England E2N 1AD

   Non Executive Chairman, AXA UK plc (life and plc insurance)


Name, Business Address

  

Present Principal Occupation

*  James F. Higgins
Morgan Stanley
Harborside Financial Center Plaza Two, Second Floor
Jersey City, NJ 07311

   Director, Morgan Stanley Fund Family (financial services)

*  Peter S. Kraus
AllianceBernstein
1345 Avenue of Americas
New York, NY 10105

   Chairman of the Board and Chief Executive Officer, AllianceBernstein Holding L.P.

     Nick Lane

  

Senior Executive Vice President and President, Retirement Savings

Senior Executive Vice President and President, Retirement Savings, AXA Equitable Life Insurance Company

*  Andrew J. McMahon

  

President

President, AXA Equitable Life Insurance Company

*  Scott D. Miller
315 East Hopkins Ave
Aspen, CO 81611

   Chief Executive Officer, SSA & Company (productivity and business transformation training)

*  Mark Pearson (2)

  

Chairman of the Board and Chief Executive Officer

Chairman of the Board and Chief Executive Officer, AXA Equitable Life Insurance Company

     Salvatore Piazzolla (3)

  

Senior Executive Vice President

Senior Executive Vice President - Head of Human Resources, AXA Equitable Life Insurance Company

     Richard V. Silver

  

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer

Senior Executive Vice President, Chief Administrative Officer and Chief Legal Officer, AXA Equitable Life Insurance Company

*  Lorie A. Slutsky
909 Third Avenue
New York, NY 10022

   President and Chief Executive Officer, The New York Community Trust (community foundation)

*  Ezra Suleiman
Corwin Hall
Princeton, NJ 08544

   Professor of Politics and IBM Professor of International Studies, Princeton University (education)

 

2


Name, Business Address

  

Present Principal Occupation

*  Peter J. Tobin
1 Briarwood Lane
Denville, NJ 07834

   Former Special Assistant to the President, St. John’s University (education)

*  Richard C. Vaughan
764 Lynnmore Lane
Naples, FL 34108-7522

   Former Executive Vice President and Chief Financial Officer, Lincoln Financial Group

 

* Director
(1) Citizen of the Republic of France
(2) Citizen of the United Kingdom
(3) Citizen of Italy

 

3

EX-99.17 13 d269056dex9917.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF AXA AMERICA Information with respect to the Executive Officers and Directors of AXA America

Exhibit 17

EXECUTIVE OFFICERS AND DIRECTORS

OF

AXA AMERICA HOLDINGS, INC.

The names of the Directors and the names and titles of the Executive Officers of AXA America Holdings, Inc. (“AXA America”) and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of AXA America at 1290 Avenue of the Americas, New York, New York 10104. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA America and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Henri de Castries (1)
AXA
25, avenue Matignon
75008 Paris, France

   Chairman of the Board and Chief Executive Officer, AXA

*  Denis Duverne (1)
AXA
25, avenue Matignon
75008 Paris, France

  

Chairman and Chief Executive Officer

Member of the Board and Deputy Chief Executive Officer, AXA

*  Richard S. Dziadzio

  

Executive Vice President

Senior Executive Vice President and Chief Financial Officer, AXA Equitable Life Insurance Company

*  Mark Pearson (2)

  

President

Chairman and Chief Executive Officer, AXA Equitable Life Insurance Company

 

* Director
(1) Citizen of the Republic of France
(2) Citizen of the United Kingdom
EX-99.18 14 d269056dex9918.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF AACS Information with respect to the Executive Officers and Directors of AACS

Exhibit 18

EXECUTIVE OFFICERS AND DIRECTORS

OF

AXA AMERICA CORPORATE SOLUTIONS, INC.

The names of the Directors and the names and titles of the Executive Officers of AXA America Corporate Solutions, Inc. (“AACS”) and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of AACS at 17 State Street, New York, New York 10004. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AACS and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Cedric de Linares (1)

   Chairman of the Board

*  Alexandre Scherer (1)

   President and Chief Executive Officer

*  Arjun Thawani (2)

   Senior Vice President, Treasurer & Controller

 

* Director
(1) Citizen of the Republic of France
(2) Citizen of the United Kingdom
EX-99.19 15 d269056dex9919.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF COLISEUM Information with respect to the Executive Officers and Directors of Coliseum

Exhibit 19

EXECUTIVE OFFICERS AND DIRECTORS

OF

COLISEUM REINSURANCE COMPANY

The names of the Directors and the names and titles of the Executive Officers of Coliseum Reinsurance Company (“Coliseum”) and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of Coliseum at 17 State Street, New York, New York 10004. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to Coliseum and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Cedric de Linares (1)

   Chairman of the Board

*  Alexandre Scherer (1)

   President and Chief Executive Officer

*  Arjun Thawani (2)

   Vice President, Chief Financial Officer & Treasurer

 

* Director
(1) Citizen of the Republic of France
(2) Citizen of the United Kingdom
EX-99.20 16 d269056dex9920.htm INFORMATION WITH RESPECT TO THE EXECUTIVE OFFICERS AND DIRECTORS OF AXA IM ROSE Information with respect to the Executive Officers and Directors of AXA IM Rose

Exhibit 20

EXECUTIVE OFFICERS AND DIRECTORS

OF

AXA IM ROSE INC.

The names of the Directors and the names and titles of the Executive Officers of AXA IM Rose Inc. (“AXA IM Rose”) and their business addresses and principal occupations are set forth below. If no address is given, the Director’s or Executive Officer’s business address is that of AXA IM Rose at One Fawcett Place, Greenwich, CT 06830. Unless otherwise indicated, each occupation set forth opposite an individual’s name refers to AXA AM Rose and each individual is a United States citizen.

 

Name, Business Address

  

Present Principal Occupation

*  Dominique Carrel-Billiard (1)

     Coeur Defense, Tour B, La Defense 4

     100 Esplanade du General de Gaulle

     92932 Paris la Defense Cedex

     France

   CEO of AXA Investment Managers

     Gautier Ripert

   Chief Operating Officer

*  Emmanuel Vercoustre (1)

     Coeur Defense, Tour B, La Defense 4

     100 Esplanade du General de Gaulle

     92932 Paris la Defense Cedex

     France

   Global Head of Finance, Control and Strategy of AXA Investment Managers

 

* Director
(1) Citizen of the Republic of France
EX-99.21 17 d269056dex9921.htm POWERS OF ATTORNEY Powers of Attorney

Exhibit 21

Power of Attorney

AXA AMERICA CORPORATE SOLUTIONS, INC., a company organized under the laws of the State of Delaware (the “Corporation”), hereby constitutes and appoints each of Dave Hattem, Alvin H. Fenichel, Andrea Nitzan, Richard V. Silver and Allen J. Zabusky, acting singly, as the true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for the Corporation and in the name, place and stead of the Corporation, in any and all capacities, to execute for and on behalf of the Corporation, all Schedules 13D and 13G and Forms 3, Forms 4 and Forms 5 as required by the Securities Exchange Act of 1934, as amended, and any and all amendments or successor filings thereto, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, the issuer and relevant stock exchanges (individually, each a “Filing”) relating to limited partnership units of AllianceBernstein Holding L.P. and AllianceBernstein L.P., both Delaware limited partnerships. The Corporation hereby grants to such attorneys-in-fact and agents of the Corporation full power and authority to do and perform each and every act and thing requisite and necessary to be done, as fully to all intents and purposes as the Corporation might or could, and hereby ratifies and confirms all that said attorneys-in-fact and agents of the Corporation or their substitute or substitutes may lawfully do or cause to be done by virtue hereof.

The undersigned acknowledges that the foregoing attorneys-in-fact and agents of the Corporation, in serving in such capacity at the request of the undersigned, are not assuming any of the Corporation’s responsibilities to comply with Section 13(d) and Section 16 of the Securities Exchange Act of 1934.

The powers hereby conferred upon the said attorneys-in-fact and agents shall continue in force until notice of the revocation of this Power of Attorney has been received by the said attorneys-in-fact and agents of the Corporation.

IN WITNESS WHEREOF, the undersigned has hereunto subscribed this Power of Attorney this 10th day November, 2011.

 

AXA AMERICA CORPORATE SOLUTIONS, INC.
By:   /s/ Arjun Thawani
  Name:   Arjun Thawani
  Title:   Senior Vice President,
    Treasurer and Controller


Power of Attorney

COLISEUM REINSURANCE COMPANY, a company organized under the laws of the State of Delaware (the “Corporation”), hereby constitutes and appoints each of Dave Hattem, Alvin H. Fenichel, Andrea Nitzan, Richard V. Silver and Allen J. Zabusky, acting singly, as the true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for the Corporation and in the name, place and stead of the Corporation, in any and all capacities, to execute for and on behalf of the Corporation, all Schedules 13D and 13G and Forms 3, Forms 4 and Forms 5 as required by the Securities Exchange Act of 1934, as amended, and any and all amendments or successor filings thereto, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, the issuer and relevant stock exchanges (individually, each a “Filing”) relating to limited partnership units of AllianceBernstein Holding L.P. and AllianceBernstein L.P., both Delaware limited partnerships. The Corporation hereby grants to such attorneys-in-fact and agents of the Corporation full power and authority to do and perform each and every act and thing requisite and necessary to be done, as fully to all intents and purposes as the Corporation might or could, and hereby ratifies and confirms all that said attorneys-in-fact and agents of the Corporation or their substitute or substitutes may lawfully do or cause to be done by virtue hereof.

The undersigned acknowledges that the foregoing attorneys-in-fact and agents of the Corporation, in serving in such capacity at the request of the undersigned, are not assuming any of the Corporation’s responsibilities to comply with Section 13(d) and Section 16 of the Securities Exchange Act of 1934.

The powers hereby conferred upon the said attorneys-in-fact and agents shall continue in force until notice of the revocation of this Power of Attorney has been received by the said attorneys-in-fact and agents of the Corporation.

IN WITNESS WHEREOF, the undersigned has hereunto subscribed this Power of Attorney this 10th day November, 2011.

 

COLISEUM REINSURANCE COMPANY
By:   /s/ Arjun Thawani
  Name:   Arjun Thawani
  Title:  

Vice President, Chief Financial

Officer and Treasurer

 

2


Power of Attorney

AXA IM ROSE INC., a company organized under the laws of the State of Delaware (the “Corporation”), hereby constitutes and appoints each of Dave Hattem, Alvin H. Fenichel, Andrea Nitzan, Richard V. Silver and Allen J. Zabusky, acting singly, as the true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for the Corporation and in the name, place and stead of the Corporation, in any and all capacities, to execute for and on behalf of the Corporation, all Schedules 13D and 13G and Forms 3, Forms 4 and Forms 5 as required by the Securities Exchange Act of 1934, as amended, and any and all amendments or successor filings thereto, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, the issuer and relevant stock exchanges (individually, each a “Filing”) relating to limited partnership units of AllianceBernstein Holding L.P. and AllianceBernstein L.P., both Delaware limited partnerships. The Corporation hereby grants to such attorneys-in-fact and agents of the Corporation full power and authority to do and perform each and every act and thing requisite and necessary to be done, as fully to all intents and purposes as the Corporation might or could, and hereby ratifies and confirms all that said attorneys-in-fact and agents of the Corporation or their substitute or substitutes may lawfully do or cause to be done by virtue hereof.

The undersigned acknowledges that the foregoing attorneys-in-fact and agents of the Corporation, in serving in such capacity at the request of the undersigned, are not assuming any of the Corporation’s responsibilities to comply with Section 13(d) and Section 16 of the Securities Exchange Act of 1934.

The powers hereby conferred upon the said attorneys-in-fact and agents shall continue in force until notice of the revocation of this Power of Attorney has been received by the said attorneys-in-fact and agents of the Corporation.

IN WITNESS WHEREOF, the undersigned has hereunto subscribed this Power of Attorney this 15th day November, 2011.

 

AXA IM ROSE INC.
By:   /s/ Gautier Ripert
  Name:   Gautier Ripert
  Title:   Chief Operating Officer

 

3