EX-99.26(B) 9 d846866dex9926b.htm AXA'S ORGANIZATIONAL CHART AXA's organizational chart

AXA FINANCIAL, INC. - SUBSIDIARY ORGANIZATION CHART : DECEMBER 31, 2014

 

AS OF :         December 31, 2014

 

   

Type of
Subsidiary

  

State of

Incorp. or

Domicile

  

State of
Principal
Operation

  

Federal
Tax ID #

  

Number of

Shares

Owned

    

Parent’s
Percent of
Ownership
or Control

    

          Comments

(e.g., Basis of Control)

AXA Financial, Inc. (Notes 1 & 2) **

     DE   NY   13-3623351      

787 Holdings, LLC

   HCO   DE   NY   See Note 19       100.00 %   

1285 Holdings, LLC

   HCO   DE   NY   46-1106388     -        100.00 %   

AXA Strategic Ventures US, LLC

   Investment   DE   NY   47-2605009       100.00 %   

AXA Equitable Financial Services, LLC (Notes 2 &16)

     DE   NY   52-2197822     -        100.00 %   

AXA RE Arizona Company

   Insurance   Arizona   Arizona   14-1903564     250,000        100.00 %    NAIC # 14355

AXA Distribution Holding Corporation (Note 2)

     DE   NY   13-4078005     1,000        100.00 %   

AXA Advisors, LLC (Note 5)

     DE   NY   13-4071393     -        100.00 %   

AXA Network, LLC (Note 6)

   Operating   DE   NY   06-1555494     -        100.00 %   

AXA Network of Puerto Rico, Inc.

   Operating   P.R.   P.R.   66-0577477       100.00 %   

PlanConnect, LLC

   Operating   DE   NY   27-1540220       100.00 %   

AXA Equitable Life Insurance Company (Note 2 & 9) *

   Insurance   NY   NY   13-5570651     2,000,000        100.00 %    NAIC # 62944; General Partner of Equitable Managed Asset

AXA Equitable Funds Management Group LLC

   Operating   DE   NY   27-5373651       100.00 %   

Equitable Managed Assets, L.P.

   Investment   DE   NY   13-3385080     -        -      General Partner of Equitable Deal Flow Fund

Real Estate Partnership Equities (various)

   Investment   **     -     -        -      **

Equitable Holdings, LLC (Notes 3 & 4)

   HCO   NY   NY   22-2766036     -        100.00 %   

See Attached Listing A

              

ACMC, LLC (Note 4)

   HCO   DE   NY   13-2677213     5,000,000        100.00 %   

EVSA, Inc.

   Investment   DE   PA   23-2671508     50        100.00 %   

AXA Equitable Life and Annuity Company * (Note 10,17 & 18)

   Insurance   Colorado   Colorado   13-3198083       100.00 %   

MONY International Holdings, LLC

   HCO   DE   NY   13-3790446       100.00 %   

MONY International Life Insurance Co. Seguros de Vida S.A.*

   Insurance   Argentina   Argentina   98-0157781       100.00 %   

MONY Financial Resources of the Americas Limited

   Insurance   Jamaica   Jamaica         99.00 %   

MBT, Ltd.

   Operating   Cayman Islands   Cayman Islands   98-0152047     633        100.00 %    79% by MONY Int’l Holdings & 21% by MONY Financial Resources

MONY Consultoria e Corretagem de Seguros Ltda.

   Operating   Brazil   Brazil         99.00 %   

MONY Life Insurance Company of the Americas, Ltd.*

   Insurance   Cayman Islands   Cayman Islands   98-0152046     30,240        100.00 %   

MONY Life Insurance Company of America*

   Insurance   AZ   NY   86-0222062       100.00 %   

U.S. Financial Life Insurance Company *

   Insurance   OH   OH   38-2046096     405,000        100.00 %   

MONY Financial Services, Inc.

   HCO   DE   NY   11-3722370     1,000        100.00 %   

Financial Marketing Agency, Inc.

   Operating   OH   OH   31-1465146     99        99.00 %   

1740 Advisers, Inc.

   Operating   NY   NY   13-2645490     14,600        100.00 %   

Trusted Insurance Advisers General Agency Corp.

   Operating   MN   NY   41-1941465     1,000        100.00 %   

Trusted Investment Advisers Corp.

   Operating   MN   NY   41-1941464     1        100.00 %   

 

Page 1 of 6

AXA FINANCIAL, INC. - SUBSIDIARY ORGANIZATION CHART : DECEMBER 31, 2014

 

* Affiliated Insurer
** Information relating to Equitable’s Real Estate Partnership Equities is disclosed in Schedule BA, Part 1 of AXA Equitable Life’s Annual Statement, which has been filed with the N.Y.S. Insurance Department.
*** All subsidiaries are corporations, except as otherwise noted.

 

1. The Equitable Companies Incorporated changed its name to AXA Financial, Inc. on Sept. 3, 1999.

 

2. Effective Sept. 20, 1999, AXA Financial, Inc. transferred ownership of Equitable Life to AXA Client Solutions, LLC, which was formed on July 19, 1999.

Effective January 1, 2002, AXA Client Solutions, LLC transferred ownership of Equitable Life and AXA Distribution Holding Corp. to AXA Financial, Inc.

Effective May 1, 2002, AXA Client Solutions, LLC changed its name to AXA Financial Services, LLC.

Effective June 1, 2002, AXA Financial, Inc. transferred ownership of Equitable Life and AXA Distribution Holding Corp. to AXA Financial Services, LLC.

Effective November 30, 2007, the name of AXA Financial Services, LLC was changed to AXA Equitable Financial Services, LLC.

 

3. Equitable Holding Corp. was merged into Equitable Holdings, LLC on Dec. 19, 1997.

 

4. In October 1999, AllianceBernstein Holding L.P. (“AllianceBernstein Holding L.P.”) reorganized by transferring its business and assets to AllianceBernstein L.P., a newly formed private partnership (“AllianceBernstein”).

As of December 31, 2014 AXF and AFS’s subsidiaries own 45.08% of the issued and outstanding units of limited partnership interest in AllianceBernstein (the “AllianceBernstein Units”), as follows:

AXF, held directly 33,032,758 AllianceBernstein Units (11.98%),

ACMC, LLC. owns 84,406,933 AllianceBernstein Units (30.60%), and

MLOA owns 2,587,472 (.94%) of AllianceBernstein Units

AllianceBernstein Corporation also own a 1.04% general partnership interest in AllianceBernstein L.P.

In addition, ACMC, LLC. own 1,444,356 units (0.52%), representing assignments of beneficial ownership of limited partnership

interests in AllianceBernstein Holding (the “AllianceBernstein Holding Units”).

AllianceBernstein Holding Units are publicly traded on the New York Stock exchange.

 

5. EQ Financial Consultants (formerly, Equico Securities, Inc.) was merged into AXA Advisors, LLC on Sept. 20, 1999. AXA Advisors, LLC was transferred from Equitable Holdings, LLC to AXA Distribution Holding Corporation on Sept. 21, 1999.

 

6. Effective March 15, 2000, Equisource of New York, Inc. and 14 of its subsidiaries were merged into AXA Network, LLC, which was

then sold to AXA Distribution Holding Corp. EquiSource of Alabama, Inc. became AXA Network of Alabama, LLC.

EquiSource Insurance Agency of Massachusetts, Inc. became AXA Network Insurance Agency of Massachusetts, LLC.

Equisource of Nevada, Inc., of Puerto Rico, Inc., and of Texas, Inc., changed their names from “EquiSource” to become

“AXA Network”, respectively. Effective February 1, 2002, Equitable Distributors Insurance Agency of Texas, Inc. changed its name

to AXA Distributors Insurance Agency of Texas, Inc. Effective February 13, 2002 Equitable Distributors Insurance Agency of Massachusetts, LLC

changed its name to AXA Distributors Insurance Agency of Massachusetts, LLC.

 

7. Effective June 6, 2000, Frontier Trust Company was sold by ELAS to AXF and merged into Frontier Trust Company, FSB.
8. Effective June 1, 2001, Equitable Structured Settlement Corp was transferred from ELAS to Equitable Holdings, LLC.
9. Effective September 2004, The Equitable Life Assurance Society of the United States changed its name to AXA Equitable Life Insurance Company.
10. Effective September 2004, The Equitable of Colorado changed its name to AXA Life and Annuity Company.
11. Effective February 18, 2005, MONY Realty Capital, Inc. was sold.
12. Effective May 26, 2005, Matrix Capital Markets Group was sold.
12. Effective May 26, 2005, Matrix Private Equities was sold.
13. Effective December 2, 2005, Advest Group was sold.
14. Effective February 24, 2006, Alliance Capital Management Corporation changed its name to AllianceBernstein Corporation.
15. Effective July 11, 2007, Frontier Trust Company, FSB was sold.
16. Effective November 30, 2007, AXA Financial Services, LLC changed its name to AXA Equitable Financial Services, LLC.
17. Effective August 1, 2008, AXA Equitable Life Insurance Company transferred ownership of AXA Life and Annuity Company to AXA Equitable Financial Services, LLC.
18. Effective September 22, 2008, AXA Life and Annuity Company changed its name to AXA Equitable Life and Annuity Company.
19. The EIN for 787 Holdings, LLC is 27-0294443, to be used for federal employment taxes and certain federal excise taxes.

For federal tax purposes, it should generally use AXA Financial’s EIN, which is 13-3623351.

20. Effective June 29, 2012, AXA Financial (Bermuda) Ltd. was redomesticated to Arizona and its name was changed to AXA RE Arizona Company.
21. Effective December 15, 2014, AXA Strategic Ventures US, LLC. was formed.

 

 

 

Page 2 of 6

AXA FINANCIAL, INC. - SUBSIDIARY ORGANIZATION CHART : DECEMBER 31, 2014

 

        Dissolved or   - On November 3, 2000, Donaldson, Lufkin & Jenrette, Inc. was sold to Credit Suisse Group.
        Merged   - 100 Federal Street Funding Corporation was dissolved August 31, 1998.
  - 100 Federal Street Realty Corporation was dissolved December 20, 2001.
  - CCMI Corp. was dissolved on October 7, 1999.
  - ELAS Realty, Inc. was dissolved January 29, 2002.
  - EML Associates, L.P. was dissolved March 27, 2001.
  - EQ Services, Inc. was dissolved May 11, 2001.
  - Equitable BJVS, Inc. was dissolved October 3, 1999.
  - Equitable Capital Management Corp. became ECMC, LLC on November 30, 1999.
  - Equitable JV Holding Corp. was dissolved on June 1, 2002.F142
  - Equitable JVS II, Inc. was dissolved December 4, 1996
  - Equitable Underwriting & Sales Agency (Bahamas) Ltd. was dissolved on December 31, 2000.
  - EREIM LP Associates (L.P.) was dissolved March 27, 2001.
  - EREIM Managers Corporation was dissolved March 27, 2001.
  - EVLICO East Ridge, Inc. was dissolved Jan. 13, 2001
  - EVLICO, Inc. was dissolved in 1999.
  - Franconom, Inc. was dissolved on December 4, 2000.
  - GP/EQ Southwest, Inc. was dissolved October 21, 1997
  - HVM Corp. was dissolved on Feb. 16, 1999.
  - ML/EQ Real Estate Portfolio, L.P. was dissolved March 27, 2001.
  - Prime Property Funding, Inc. was dissolved in Feb. 1999.
  - Sarasota Prime Hotels, Inc. became Sarasota Prime Hotels, LLC.
  - Six-Pac G.P., Inc. was dissolved July 12,1999
  - Paramount Planners, LLC., a direct subsidiary of AXA Distribution Holding Corporation, was dissolved on December 5, 2003
  - Equitable Rowes Wharf, Inc. was dissolved October 12, 2004
  - ECLL Inc. was dissolved July 15, 2003
  - MONY Realty Partners, Inc. was dissolved February 2005.
  - Wil-Gro, Inc. was dissolved June, 2005.
  - Sagamore Financial LLC was dissolved August 31, 2006.
  - Equitable JVS was dissolved August, 2007.
  - Astor Times Square Corp. dissolved as of April 2007.
  - Astor/Broadway Acquisition Corp. dissolved as of August 2007.
  - PC Landmark, Inc. has been administratively dissolved.
  - EJSVS, Inc. has been administratively dissolved.
  - STCS, Inc. was dissolved on August 15, 2007.
  - AXA Network of Alabama was merged into AXA Network, LLC. on November 18, 2011
  - AXA Network of Connecticut, Maine and New York, LLC was merged into AXA Network, LLC. on November 17, 2011
  - AXA Network Insurance Agency of Massachusetts, LLC was merged into AXA Network, LLC. on November 17, 2011
  - AXA Network Insurance Agency of Texas, Inc. was merged into AXA Network, LLC. effective January 1, 2012.
  - AXA Network of Nevada, Inc. was merged into AXA Network, LLC. effective January 1, 2012.
  - Equitable Deal Flow Fund, L.P. dissolved effective December 2013.

 

Page 3 of 6

AXA FINANCIAL, INC. - SUBSIDIARY ORGANIZATION CHART : DECEMBER 31, 2014

 

LISTING A - Equitable Holdings, LLC

 

    

Type of
Subsidiary

   

State of
Incorp. or
Domicile

   

State of
Principal
Operation

   

Federal

Tax ID #

     

Number of

Shares

Owned

     

Parent’s
Percent of
Ownership

or Control

     

Comments
(e.g., Basis of Control)

AXA Financial, Inc.

                     

AXA Equitable Financial Services, LLC (Note 2)

                     

AXA Equitable Life Insurance Company *

                     

Equitable Holdings, LLC

                     

Equitable Casualty Insurance Company *

    Operating    VT    VT      06-1166226         1,000         100.00%      

ECMC, LLC (See Note 4 on Page 2)

    Operating    DE    NY      13-3266813         -           100.00%      

Equitable Capital Private Income & Equity
Partnership II, L.P.

    Investment    DE    NY      13-3544879         -           -           ECMC is G.P. (“Deal Flow Fund II”)

AllianceBernstein Corporation (See Note 4 on Page 2)

    Operating    DE    NY      13-3633538         100         100.00%      

See Attached Listing B

                     

AXA Distributors, LLC

    Operating    DE    NY      52-2233674         -           100.00%      

J.M.R. Realty Services, Inc.

    Operating    DE    NY      13-3813232         1,000         100.00%      

Equitable Structured Settlement Corp. (See Note 8 on Page 2)

    Operating    DE    NJ      22-3492811         100         100.00%      

* Affiliated Insurer

Equitable Investment Corp merged into Equitable Holdings, LLC on November 30, 1999.

Equitable Capital Management Corp. became ECMC, LLC on November 30, 1999.

Effective March 15, 2000, Equisource of New York, Inc. and its subsidiaries were merged into AXA Network, LLC, which was then sold to AXA Distribution Holding Corp.

Effective January 1, 2002, Equitable Distributors, Inc. merged into AXA Distributors, LLC.

AXA Distributors Insurance Agency of Alabama, LLC was merged into AXA Distributors, LLC effective November 30, 2011.

AXA Distributors Insurance Agency, LLC was merged into AXA Distributors, LLC effective November 28, 2011.

AXA Distributors Insurance Agency of Massachusetts, LLC was merged into AXA Distributors, LLC effective November 29, 2011.

AXA Distributors Insurance Agency of Texas Inc. LLC was merged into AXA Distributors, LLC effective November 29, 2011.

ELAS Securities Acquisition Corp. was merged into Equitable Holdings, LLC effective July 16, 2012

 

Page 4 of 6

AXA FINANCIAL, INC. - SUBSIDIARY ORGANIZATION CHART : DECEMBER 31, 2014

 

LISTING B - AllianceBernstein Corporation

 

    

Type of
Subsidiary

  

State of

Incorp. or

Domicile

   

State of
Principal
Operation

   

Federal

Tax ID #

   

Number of

Shares

Owned

   

Parent’s
Percent of
Ownership
or Control

  

Comments

(e.g., Basis of Control)

AXA Financial, Inc.

                   

AXA Equitable Financial Services, LLC (Note 2)

                   

AXA Equitable Life Insurance Company*

                   

Equitable Holdings, LLC

                   

AllianceBernstein Corporation

      DE    NY    13-3633538         owns 1% GP interest in AllianceBernstein L.P. and 100,000 GP units in AllianceBernstein Holding L.P.

AllianceBernstein Holding L.P. (See Note 4 on Page 2)

    HCO (NYSE: AB)   DE    NY    13-3434400        

AllianceBernstein L.P. (See Note 4 on Page 2)

    Operating   DE    NY    13-4064930        

AllianceBernstein Investments Taiwan Limited

    Operating   Taiwan    Taiwan    -       75.12%   AllianceBernstein Hong Kong Limited owns 24.88%

AllianceBernstein Trust Company, LLC

    Operating   NH    NY    -       100.00%   Sole member interest

Alliance Capital Management LLC

    HCO   DE    NY    -       100.00%  

AllianceBernstein Real Estate Investments LLC

    Operating   DE    NY    -       100.00%   Sole member interest

AllianceBernstein Private Credit Investors LLC

    Operating   DE    NY    47-1265381       100.00%   Sole member interest

Sanford C. Bernstein & Co., LLC

    Operating   DE    NY    13-4132953       100.00%  

AllianceBernstein International, LLC

    HCO   DE    NY    -       100.00%   Owned by AllianceBernstein L.P.

Sanford C. Bernstein (Schwiez) GmbH

    Operating   Switzerland    Switzerland    -       100.00%   Owned by AllianceBernstein International LLC.

Sanford C. Bernstein (Hong Kong) Limited

    Operating   Hong Kong    Hong Kong    -       100.00%   Owned by AllianceBernstein International LLC.

AllianceBernstein Holdings Limited

    HCO   U.K.    U.K.    -       100.00%   Owned by AllianceBernstein International LLC.

AllianceBernstein Corporation of Delaware

    HCO   DE    NY    13-2778645    10    100.00%  

ACAM Trust Company Private Ltd.

    Dormant   India    India    -       100.00%  

AllianceBernstein (Argentina) S.R.L.

    Operating   Argentina    Argentina    -       99.00%   AllianceBernstein Oceanic Corporation owns 1%

AllianceBernstein Japan Inc.

    HCO   DE    Japan    13-3009358       100.00%  

AllianceBernstein Japan Ltd.

    Operating      Japan    -       100.00%  

AllianceBernstein Invest. Manage. Australia Limited

    Operating   Australia    Australia    -       100.00%  

AllianceBernstein Global Derivatives Corp.

    Operating   DE    NY    13-3626546    1,000    100.00%  

AllianceBernstein Administradora de Carteiras (Brasil) Ltda.

    Operating   Brazil    Brazil    -       99.00%   AllianceBernstein Oceanic Corporation owns 1%

AllianceBernstein Holdings (Cayman) Ltd.

    HCO   Cayman Isles    Cayman Isles          100.00%  

AllianceBernstein Preferred Limited

    HCO   U.K.    U.K.    -       100.00%   Owned by AllianceBernstein Corporation of Delaware

CPH Capital Fondsmaeglerselskab A/S

    Operating   Denmark    Denmark    -       81.00%   The remainder owned by unaffiliated third parties (and is scheduled to be acquired by AB over next five years)

AllianceBernstein Limited

    Operating   U.K.    U.K.    -    250,000    100.00%   AB Preferred owns 100% of preference shares & AB Holdings Limited owns 100% of ordinary shares

AllianceBernstein Europe GmbH

    Operating      Germany    -       100.00%  

AllianceBernstein Services Limited

    Operating      U.K.    -    1,000    100.00%  

AllianceBernstein Schweiz AG

    Operating   Switzerland    Zurich    -       100.00%  

AllianceBernstein (Luxembourg) S.A.

    Operating   Lux.    Lux.    -    3,999    100.00%   AB Holdings Limited owns 79.75% class b ordinary & AB Preferred owns 20.25% preference shares

AllianceBernstein (France) SAS

    Operating      France    -       100.00%  

AllianceBernstein (Mexico) S. de R.L. de C.V.

    Operating   Mexico    Mexico    -       99.00%   AllianceBernstein Oceanic Corp. owns 1%

AllianceBernstein Australia Limited

    Operating   Australia    Australia    -       50.00%   AB International LLC owns the other 50%.

AllianceBernstein New Zealand Limited

    Operating   New Zealand    New Zealand    -       50.00%   AB International LLC owns the other 50%.

AllianceBernstein Canada, Inc.

    Operating   Canada    Canada    13-3630460    18,750    100.00%  

 

Page 5 of 6

AXA FINANCIAL, INC. - SUBSIDIARY ORGANIZATION CHART : DECEMBER 31, 2014

LISTING B - AllianceBernstein Corporation

 

    

Type of
Subsidiary

   

State of
Incorp. or
Domicile

   

State of
Principal
Operation

   

Federal
Tax ID #

     

Number of

Shares

Owned

     

Parent’s
Percent of
Ownership
or Control

     

         Comments
(e.g., Basis of Control)

AXA Financial, Inc.

                     

AXA Equitable Financial Services, LLC (Note 2)

                     

AXA Equitable Life Insurance Company*

                     

Equitable Holdings, LLC

                     

AllianceBernstein Corporation

       DE    NY      13-3633538            

AllianceBernstein L.P.

    Operating    DE    NY      13-4064930            

AllianceBernstein International LLC

    HCO    DE    NY            100.00%       Owned by AllianceBernstein L.P.

AllianceBernstein Corporation of Delaware (Cont’d)

    HCO    DE    NY      13-2778645            

AllianceBernstein Inv. Res. (Proprietary) Limited

    Dormant    So Africa    So Africa      -            80.00%      

AllianceBernstein (Singapore) Ltd.

    Operating    Singapore    Singapore      -            100.00%      

Alliance Capital (Mauritius) Private Ltd.

    HCO    Mauritius    Mauritius      -            100.00%      

Alliance Capital Asset Man. (India) Private Ltd

    Dormant    India    India      -            75.00%       3rd party (Ankar Capital India Pvt. Ltd.) owns 25%

AllianceBernstein Invest. Res. & Man. (India) Pvt.

    Operating    India    India      -            100.00%      

AllianceBernstein Oceanic Corporation

    HCO    DE    NY      13-3441277         1,000         100.00%      

AllianceBernstein Asset Management (Korea) Ltd.

    Operating    Korea    Korea      -            100.00%      

AllianceBernstein Investments, Inc.

    Operating    DE    NY      13-3191825         100         100.00%      

AllianceBernstein Investor Services, Inc.

    Operating    DE    TX      13-3211780         100         100.00%      

AllianceBernstein Hong Kong Limited

    Operating    Hong Kong    Hong Kong      -            100.00%      

Sanford C. Bernstein Limited

    Operating    U.K.    U.K.      -            100.00%      

Sanford C. Bernstein (CREST Nominees) Ltd.

    Operating    U.K.    U.K.      -            100.00%       Devonshire House, 1 Mayfair Place

W.P. Stewart & Co., LLC.

    Operating    DE    NY      98-0201080            100.00%      

W.P. Stewart Asset Management (Curacao), N.V.

    Operating    Curacao    Curacao      -            100.00%      

W.P. Stewart Management (Europe), N.V.

    Operating    Netherlands    Netherlands      -            100.00%      

TPR Curacao N.V.

    Operating    Curacao    Curacao      -            100.00%      

WPSH Management N.V.

    Operating    Curacao    Curacao      -            100.00%      

W.P. Stewart & Co. (Europe), Ltd.

    Operating    U.K.    U.K.      -            100.00%      

WPS Advisors, LLC.

    Operating    DE    NY      13-4008818            100.00%      

W.P. Stewart Asset Management Ltd.

    Operating    DE    NY      98-0201079            100.00%      

W.P. Stewart Securities LLC

    Dormant    DE    NY      27-2713894            100.00%      

W.P. Stewart Asset Management (NA), LLC.

    Operating    NY    NY      11-2650769            100.00%      

W.P. Stewart Fund Management S.A.

    Operating    Luxembourg    Luxembourg      -            100.00%      

Bowen Asia Limited

    Operating    Hong Kong    Hong Kong      -            100.00%      

 

Page 6 of 6