-----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, D4j9QUYZeUJv3gbi8KenWmrHwWjuTEbsDnw8RRcjRfAFG6bdDVxxF9ZmIYxDbuvu f1UXefSCa2MK1mDAuxTkCw== 0001005477-09-001830.txt : 20090401 0001005477-09-001830.hdr.sgml : 20090401 20090401163148 ACCESSION NUMBER: 0001005477-09-001830 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: DUVERNE DENIS CENTRAL INDEX KEY: 0001234324 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723796 MAIL ADDRESS: STREET 1: C/O ALLIANCE CAPITAL STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CASTRIES HENRI DE CENTRAL INDEX KEY: 0001266416 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723797 MAIL ADDRESS: STREET 1: 25 AVENUE MATIGNON CITY: PARIS STATE: I0 ZIP: 75008 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CONDRON CHRISTOPHER M CENTRAL INDEX KEY: 0001234323 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723794 MAIL ADDRESS: STREET 1: C/O ALLIANCE CAPITAL STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA ASSURANCES VIE MUTUELLE ET AL CENTRAL INDEX KEY: 0000898482 STATE OF INCORPORATION: I0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723790 BUSINESS ADDRESS: STREET 1: LA GRANDE ARCHE PARDI NORD STREET 2: 92044 CITY: PARIS LA DEFENSE FRA STATE: I3 MAIL ADDRESS: STREET 1: 26 RUE DROUOT CITY: PARIS STATE: I0 ZIP: 75009 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA ASSURANCES I A R D MUTUELLE ET AL CENTRAL INDEX KEY: 0000941620 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723791 BUSINESS ADDRESS: STREET 1: LA GRANDE ARCHE STREET 2: PARDI NORD CITY: 92044 PARIS LA DEFENCE FRANCE STATE: I0 MAIL ADDRESS: STREET 1: 26 RUE DROUOT CITY: PARIS STATE: I0 ZIP: 75009 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: OUDINOT PARTICIPATIONS CENTRAL INDEX KEY: 0001333987 STATE OF INCORPORATION: I0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723795 BUSINESS ADDRESS: STREET 1: 39, RUE DU COLISEE CITY: PARIS STATE: I0 ZIP: 75008 BUSINESS PHONE: 011-0033 140 7573 89 MAIL ADDRESS: STREET 1: 39, RUE DU COLISEE CITY: PARIS STATE: I0 ZIP: 75008 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA EQUITABLE FINANCIAL SERVICES LLC CENTRAL INDEX KEY: 0001257148 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723793 BUSINESS ADDRESS: STREET 1: 1290 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 212-554-1234 MAIL ADDRESS: STREET 1: 1290 AVE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER NAME: FORMER CONFORMED NAME: AXA FINANCIAL SERVICES LLC DATE OF NAME CHANGE: 20030728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AXA FINANCIAL INC CENTRAL INDEX KEY: 0000888002 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29961 FILM NUMBER: 09723792 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: 2125541234 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER NAME: FORMER CONFORMED NAME: EQUITABLE COMPANIES INC DATE OF NAME CHANGE: 19950721 4 1 edgar123.xml FORM 4 X0303 4 2009-03-30 0 0001109448 ALLIANCEBERNSTEIN L.P. NONE 0001266416 CASTRIES HENRI DE 25, AVENUE MATIGNON PARIS I0 75008 FRANCE 0 0 1 1 Filed by mult. reporting pers. 0001234324 DUVERNE DENIS 25, AVENUE MATIGNON PARIS I0 75008 FRANCE 0 0 1 1 Filed by mult. reporting pers. 0001333987 OUDINOT PARTICIPATIONS 39, RUE DU COLISEE PARIS I0 75008 FRANCE 0 0 1 1 Filed by mult. reporting pers. 0001234323 CONDRON CHRISTOPHER M 1290 AVENUE OF AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0001257148 AXA EQUITABLE FINANCIAL SERVICES LLC 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0000888002 AXA FINANCIAL INC 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 0 1 1 Filed by mult. reporting pers. 0000941620 AXA ASSURANCES I A R D MUTUELLE ET AL 26, RUE DROUOT PARIS I0 75009 FRANCE 0 0 1 1 Filed by mult.reporting pers. 0000898482 AXA ASSURANCES VIE MUTUELLE ET AL 26, RUE DROUOT PARIS I0 75009 FRANCE 0 0 1 1 Filed by mult. reporting pers. Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 D 0 I See Notes Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 A 8160000 I See Notes Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 D 0 I See Notes Units of Limited Partnership Interest 2009-03-30 4 J 0 8160000 0 A 8160000 I See Notes Units of Limited Partnership Interest 66220822 I See Notes Units of Limited Partnership Interest 29100290 I See Notes Units of Limited Partnership Interest 2009-03-30 4 S 0 41934582 14.308 D 15276937 I See Notes Units of Limited Partnership Interest 2009-03-30 4 P 0 41934582 14.308 A 41934582 I See Notes Units of Limited Partnership Interest 6841642 I See Notes Units of Limited Partnership Interest 2587472 I See Notes 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 securiti es 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 this transaction filed today by multiple reporting persons. See Attachment A filed as an Exhibit hereto for a complete list of Reporting Persons filing these two Forms 4 today. Alvin H. Fenichel (See Attachment A) 2009-04-01 EX-99 2 attachment_a.txt ATTACHMENT A ADDITIONAL REPORTING PERSONS AND SIGNATURES 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 39, rue du Colisee 75008 Paris, France 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. By: /s/Alvin H. Fenichel -------------------------- Alvin H. Fenichel, Attorney-in-Fact 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 ASSURANCES I.A.R.D. MUTUELLE 26, rue Drouot 75009 Paris, France AXA ASSURANCES VIE MUTUELLE 26, rue Drouot 75009 Paris, France AXA 25, avenue Matignon 75008 Paris, France AXA FINANCIAL (BERMUDA) LTD. C/O 1290 Avenue of the Americas New York, New York 10104 AXA EQUITABLE LIFE INSURANCE COMPANY 1290 Avenue of the Americas New York, New York 10104 ACMC, INC. 1290 Avenue of the Americas New York, New York 10104 AXA America Holdings, Inc. 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 IM Rose,Inc. One Fawcett Place Greenwich, CT 06830 AXA America Coporate Solutions, Inc. 17 State Street New York, New York 10004 Coliseum Reinsurance Company 17 State Street New York, New York 10004 -----END PRIVACY-ENHANCED MESSAGE-----