-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ft1q2cuT1ZxEaEShI5LXKUCgIjELdKTwFXEk7zKDGnqn0Qy3rk7d8fpEZp2C5eOz O443eeawoWVahAop51zbFA== 0001005477-09-001829.txt : 20090401 0001005477-09-001829.hdr.sgml : 20090401 20090401163132 ACCESSION NUMBER: 0001005477-09-001829 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090330 FILED AS OF DATE: 20090401 DATE AS OF CHANGE: 20090401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA CENTRAL INDEX KEY: 0000898427 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: I0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723783 BUSINESS ADDRESS: STREET 1: 25 AVE MATIGNON CITY: PARIS FRANCE STATE: I0 BUSINESS PHONE: 2125544489 MAIL ADDRESS: STREET 1: 135 WEST 50TH ST 3RD ST STREET 2: 135 WEST 50TH ST 3RD ST CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: AXA UAP DATE OF NAME CHANGE: 19970904 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN 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: Coliseum Reinsurance Co CENTRAL INDEX KEY: 0001456280 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723778 BUSINESS ADDRESS: STREET 1: 17 STATE STREET STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-493-9300 MAIL ADDRESS: STREET 1: 17 STATE STREET STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA-IM Rose Inc CENTRAL INDEX KEY: 0001459848 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723785 BUSINESS ADDRESS: STREET 1: ONE FAWCETT PLACE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203 863 8900 MAIL ADDRESS: STREET 1: ONE FAWCETT PLACE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MONY LIFE INSURANCE CO OF AMERICA CENTRAL INDEX KEY: 0000835357 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723775 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 FORMER NAME: FORMER CONFORMED NAME: MONY LIFE INSURANCE COMPANY OF AMERICA DATE OF NAME CHANGE: 19981002 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: 09723777 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA AMERICA HOLDINGS, INC. CENTRAL INDEX KEY: 0001333986 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723780 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 011-0033 140 7546 22 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA FINANCIAL (BERMUDA) LTD. CENTRAL INDEX KEY: 0001450152 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1208 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723781 BUSINESS ADDRESS: STREET 1: C/O MARSH MANAGEMENT SERVICES (BERMUDA) STREET 2: VICTORIA HALL, 11 VICTORIA STREET CITY: HAMILTON STATE: D0 ZIP: HM11 BUSINESS PHONE: 441-292-4402 MAIL ADDRESS: STREET 1: C/O MARSH MANAGEMENT SERVICES (BERMUDA) STREET 2: VICTORIA HALL, 11 VICTORIA STREET CITY: HAMILTON STATE: D0 ZIP: HM11 FORMER NAME: FORMER CONFORMED NAME: AXA Financial (Bermuda) Ltd. DATE OF NAME CHANGE: 20081118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA America Corporate Solutions, Inc. CENTRAL INDEX KEY: 0001456276 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723779 BUSINESS ADDRESS: STREET 1: 17 STATE STREET STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-493-9300 MAIL ADDRESS: STREET 1: 17 STATE STREET STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ACMC INC CENTRAL INDEX KEY: 0000003798 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723784 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2125541234 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER NAME: FORMER CONFORMED NAME: ALLIANCE CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19920929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA EQUITABLE LIFE INSURANCE CO CENTRAL INDEX KEY: 0000727920 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723782 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2125541234 MAIL ADDRESS: STREET 1: 1290 AVENUE OF AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER NAME: FORMER CONFORMED NAME: AXA-EQUITABLE LIFE INSURANCE CO DATE OF NAME CHANGE: 20040928 FORMER NAME: FORMER CONFORMED NAME: EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES /NY/ DATE OF NAME CHANGE: 19920703 4 1 edgar123.xml FORM 4 X0303 4 2009-03-30 0 0001109448 ALLIANCEBERNSTEIN L.P. NONE 0000003798 ACMC INC 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0000898427 AXA 25 AVENUE MATIGNON PARIS I0 75008 FRANCE 0 0 1 1 Filed by mult. reporting pers. 0000727920 AXA EQUITABLE LIFE INSURANCE CO 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0001450152 AXA FINANCIAL (BERMUDA) LTD. C/O 1290 AVENUE OF AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0001333986 AXA AMERICA HOLDINGS, INC. 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0001456276 AXA America Corporate Solutions, Inc. 17 STATE STREET 37TH FLOOR NEW YORK NY 10004 0 0 1 1 Filed by mult. reporting pers. 0001456280 Coliseum Reinsurance Co 17 STATE STREET 37TH FLOOR NEW YORK NY 10004 0 0 1 1 Filed by mult. reporting pers. 0001209935 MONY LIFE INSURANCE CO 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0000835357 MONY LIFE INSURANCE CO OF AMERICA 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0001459848 AXA-IM Rose Inc ONE FAWCETT PLACE GREENWICH CT 06830 0 0 1 1 Filed by mult. reporting pers. Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 D 0 D Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 A 8160000 D Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 D 0 D Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 A 8160000 D Units of Limited Partnership Interest 66220822 D Units of Limited Partnership Interest 29100290 D Units of Limited Partnership Interest 2009-03-30 4 S 0 41934582 14.308 D 15276937 D Units of Limited Partnership Interest 2009-03-30 4 P 0 41934582 14.308 A 41934582 D Units of Limited Partnership Interest 6841642 D Units of Limited Partnership Interest 2587472 D On March 30, 2009, these units of limited partnership interest ("AB Units") in AllianceBernstein L.P. ("AllianceBernstein") were contributed by AXA America Holdings, Inc. ("AXA America") to AXA America Corporate Solutions, Inc. ("AXA Corporate Solutions"), a wholly-owned subsidiary of AXA America. Upon receipt of these AB Units, AXA Corporate Solutions immediately contributed these AB Units to Coliseum Reinsurance Co ("Coliseum Reinsurance"), a wholly-owned subsidiary of AXA Corporate Solutions. Not applicable. These AB Units are directly owned by AXA America. AXA indirectly owns all of the common stock of (i) AXA America Holdings, Inc. ("AXA America"), a holding company for a group of insurance and related financial services companies, including AXA Financial and its subsidiaries ("AXA Financial") and AXA Corporate Solutions and its wholly owned subsidiary, Coliseum Reinsurance and (ii) AXA IM Rose Inc. ("AXA IM Rose"), a holding company for a group of asset management companies. As of December 31, 2008, AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle (collectively, the "Mutuelles AXA"), directly and indirectly owned approximately 14.29% of the issued ordinary shares (representing approximately 23.10% of the voting power) of AXA. The Mutuelles AXA and AXA expressly declare that the filing of this Form 4 shall not be construed as an admission that either of them is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securitie s covered by this Form 4. AXA has deposited its shares of common stock ("Common Stock") of AXA Financial into a voting trust. AXA will remain the indirect beneficial owner of such Common Stock, but during the term of the voting trust, the AXA Voting Trustees will exercise all voting rights 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 Units reported in this Form 4, the Reporting Persons beneficially own units ("Holding Units") representing assignments of beneficial ownership of limited partnership interests in AllianceBernstein Holding L.P. ("Holding") as follows. As of March 30, 2009, ACMC, Inc. ("ACMC") beneficially owned directly 722,178 Holding Units and AXA Equitable Life Insurance Company ("AXA Equitable") beneficially owned directly 722,178 Holding Units. Equitable Holdings, LLC wholly owns AllianceBernstein Corporation, the general partner of both AllianceBernstein and Holding. As of March 30, 2009, Holding owned 91,956,176 AB Units. For more information on the Reporting Persons' holdings of Holding Units, see their separate Form 4 filings with respect to Holding Units. The AB Units are highly illiquid, and the ability of a holder of AB Units to exchange them in the future for Holding Units if it so desires is substantially limited. In general, transfers of AB Units will be allowed only with the written consent of both AXA Equitable and the general partner of AllianceBernstein. AXA Equitable and the general partner of AllianceBernstein have stated that they intend to refuse to consent to any transfer that is not described in the safe harbors set forth in the United States Treasury regulations. These AB Units are directly owned by AXA Corporate Solutions. These AB Units are directly owned by Coliseum Reinsurance. These AB Units are directly owned by ACMC. These AB Units are directly owned by AXA Equitable. These AB Units are directly owned by AXA Financial (Bermuda), Ltd ("AXA Bermuda"). On March 30, 2009, AXA IM Rose purchased 41,934,582 AB Units from AXA Bermuda. The purchase price of each AB Unit was $14.308 per AB Unit. These AB Units are directly owned by AXA IM Rose. These AB Units are directly owned by MONY Life Insurance Company. These AB Units are directly owned by MONY Life Insurance Company of America. The transfers of AB Units to Coliseum Reinsurance and AXA IM Rose, as more fully described above, are internal transfers within the consolidated AXA Group for capital management purposes that do not change the aggregate holdings of AB Units by AXA and its affiliates ("AXA Group"). Coliseum Reinsurance and AXA IM Rose intend to hold their AB Units for passive investment purposes as part of the AXA Group's overall strategic holding in AllianceBernstein. This is one of two Forms 4 reporting the transaction filed today by multiple reporting persons. See Attachment A filed as an Exhibit hereto for a complete list of Reporting Persons filing these two Forms 4 today. Alvin H. Fenichel (See Attachment A) 2009-04-01 Kevin R. Byrne (See Attachment A) 2009-04-01 EX-99 2 attachmenta.txt ATTACHMENT A ADDITIONAL REPORTING PERSONS AND SIGNATURES COMPANY / ADDRESS AXA ASSURANCES I.A.R.D. MUTUELLE 26, rue Drouot 75009 Paris, France AXA ASSURANCES VIE MUTUELLE 26, rue Drouot 75009 Paris, France are Reporting Persons through their interest in the following entity: AXA 25, avenue Matignon 75008 Paris, France is a Reporting Person through its interest in AXA America Holdings, Inc. and AXA IM Rose,Inc. SIGNED ON BEHALF OF THE ABOVE ENTITIES (collectively, the "Mutuelles AXA, and AXA") By: /s/Alvin H. Fenichel ---------------------------------- Alvin H. Fenichel, Attorney-in-Fact COMPANY / ADDRESS AXA EQUITABLE LIFE INSURANCE COMPANY 1290 Avenue of the Americas New York, New York 10104 MONY LIFE INSURANCE COMPANY 1290 Avenue of the Americas New York, New York 10104 MONY LIFE INSURANCE COMPANY OF AMERICA 1290 Avenue of the Americas New York, New York 10104 AXA America Holdings, Inc. 1290 Avenue of the Americas New York, New York 10104 SIGNED ON BEHALF OF THE ABOVE ENTITIES By: /s/ Alvin H. Fenichel ------------------------------- Alvin H. Fenichel, Senior Vice President and Chief Accounting Officer AXA Financial (Bermuda) Ltd. C/O 1290 Avenue of the Americas New York, New York 10104 By: /s/ Kevin R. Byrne ------------------------------- Kevin R. Byrne, President ACMC, INC. 1290 Avenue of the Americas New York, New York 10104 By: /s/Kevin R. Byrne ------------------------------- Kevin R. Byrne, Senior Vice President and Chief Financial Officer AXA America Coporate Solutions, Inc. 17 State Street New York, New York 10004 By: /s/Susan B. Wilcher ------------------------------- Susan B. Wilcher General Counsel Coliseum Reinsurance Company 17 State Street New York, New York 10004 By: /s/Susan B. Wilcher ------------------------------- Susan B. Wilcher General Counsel AXA IM Rose,Inc. One Fawcett Place Greenwich, CT 06830 By: /s/David Fourgoux ------------------------------- David Fourgoux Chief Operating Officer Since no more than ten reporting persons may join in a single electronic Form 4 submission, a separate Form 4 is being filed today on behalf of the following reporting persons: COMPANY / ADDRESS AXA FINANCIAL, INC. 1290 Avenue of the Americas New York, New York 10104 AXA Equitable Financial Services, LLC. 1290 Avenue of the Americas New York, New York 10104 Oudinot Participations 26, rue du Colisee 75008 Paris, France VOTING TRUSTEES / ADDRESS Henri de Castries, Christopher Condron and 25, avenue Matignon Denis Duverne (collectively, the "AXA Voting 75008 Paris, France Trustees") pursuant to the Amended and Restated Voting Trust Agreement dated as of May 12, 2002, with AXA. -----END PRIVACY-ENHANCED MESSAGE-----