0001181431-13-050240.txt : 20130923 0001181431-13-050240.hdr.sgml : 20130923 20130923163404 ACCESSION NUMBER: 0001181431-13-050240 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130923 FILED AS OF DATE: 20130923 DATE AS OF CHANGE: 20130923 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN L.P. CENTRAL INDEX KEY: 0001109448 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 134064930 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1345 AVENUE 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 L P DATE OF NAME CHANGE: 20000316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MONY LIFE INSURANCE CO CENTRAL INDEX KEY: 0001209935 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 131110444 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS STREET 2: MAIL STOP 11-18 CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2125541234 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS STREET 2: MAIL STOP 11-18 CITY: NEW YORK STATE: NY ZIP: 10104 4 1 rrd390704.xml FORM 4 X0306 4 2013-09-23 0 0001109448 ALLIANCEBERNSTEIN L.P. NONE 0001209935 MONY LIFE INSURANCE CO 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 0 Units of Limited Partnership Interest 2013-09-23 4 J 0 6841642 D 2587472 I By wholly-owned corporation On September 23, 2013, these units of limited partnership interest ("AB Capital Units") in AllianceBernstein L.P. ("AllianceBernstein") were transferred by MONY Life Insurance Company ("MONY Life") to AXA Equitable Financial Services, LLC ("AXFS"), its sole shareholder which immediately transferred such units to AXA Financial, Inc. ("AXF"), its sole member. Not applicable. AXA indirectly owns (i) all of the common stock of AXA America Holdings, Inc., a holding company for a group of insurance and related financial services companies, including AXF and its subsidiaries and AXA America Corporate Solutions, Inc. and its wholly owned subsidiary, Coliseum Reinsurance Company ("Coliseum Reinsurance") and (ii) 95.535% of the outstanding shares of common stock of AXA IM Rose, Inc. ("AXA IM Rose"), a holding company for a group of asset management companies. AXF is the sole member of AXFS which wholly owns (i) AXA Equitable Life Insurance Company ("AXA Equitable") which in turn owns ACMC, LLC ("ACMC"), (ii) AXA RE Arizona Company (formerly know as AXA Financial (Bermuda) Ltd.) ("AXA Arizona"), and (iii) MONY Life which in turn owns MONY Life Insurance Company of America ("MLOA"). As of December 31, 2012, AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle (collectively, "Mutuelles AXA"), directly beneficially owned approximately 13.94% of the issued ordinary shares (representing approximately 21.88% of the voting power) of AXA. The Mutuelles AXA and AXA expressly declare that the filing of this Form 4 shall not be construed as an admission that either of them is, for purposes of Section 16 of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this Form 4. AXA has deposited its shares of common stock ("Common Stock") of AXF into a voting trust. AXA will remain the indirect beneficial owner of such Common Stock, but during the term of the voting trust, the AXA Voting Trustees (Mark Pearson, Henri de Castries and Denis Duverne) will exercise all voting rights with respect to the Common Stock. By reason of the voting trust and their relationship with AXA and the Mutuelles AXA, the AXA Voting Trustees may be deemed to beneficially own the securities covered by this Form 4. The AXA Voting Trustees expressly declare that the filing of this Form 4 shall not be construed as an admission that any of them is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by this Form 4. In addition to the AB Capital Units reported in this Form 4, affiliates of the Reporting Person beneficially own additional AB Capital Units and units representing assignments of beneficial ownership of limited partnership interests ("Holding Units") in AllianceBernstein Holding L.P. ("Holding") as follows. As of the close of business on September 23, 2013, AXF beneficially owned 22,118,579 AB Capital Units; ACMC beneficially owned 1,444,356 Holding Units and 95,321,112 AB Capital Units; AXA IM Rose, 41,934,582 AB Capital Units; Coliseum Reinsurance, 8,160,000 AB Capital Units; MLOA, 2,587,472 AB Capital Units; and AllianceBernstein Corporation, a wholly-owned subsidiary of AXA Equitable, owned a 1% general partnership interest in AllianceBernstein and 100,000 units of general partnership interest in Holding. The AB Capital Units are highly illiquid, and the ability of a holder of AB Capital Units to exchange them in the future for AB Units if it so desires is substantially limited. In general, transfers of AB Capital Units will be allowed only with the written consent of both AXA Equitable and the general partner of AllianceBernstein. AXA Equitable and the general partner of AllianceBernstein have stated that they intend to refuse to consent to any transfer that is not described in the safe harbors set forth in the United States Treasury regulations. /s/ Anders Malmstrom, Senior Executive Vice President and Chief Financial Officer 2013-09-23