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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FINAXA ET AL 23, AVENUE MATIGNON PARIS, I0 75008 |
Filed by mult. reporting pers. | |||
BEBEAR CLAUDE 25, AVENUE MATIGNON PARIS, I0 75008 |
Filed by mult. reporting pers. | |||
CASTRIES HENRI DE 25, AVENUE MATIGNON PARIS, I0 75008 |
Filed by mult. reporting pers. | |||
MONY HOLDINGS LLC 1290 AVENUE OF THE AMERICAS NEW YORK, NY 10104 |
Filed by mult. reporting pers. | |||
MONY LIFE INSURANCE CO 1290 AVENUE OF THE AMERICAS NEW YORK, NY 10104 |
Filed by mult. reporting pers. | |||
MONY LIFE INSURANCE CO OF AMERICA 1290 AVENUE OF THE AMERICAS NEW YORK, NY 10104 |
Filed by mult. reporting pers. | |||
DUVERNE DENIS 21, AVENUE MATIGNON PARIS, I0 75008 |
Filed by mult. reporting pers. | |||
AXA AMERICA HOLDINGS, INC. 1290 AVENUE OF THE AMERICAS NEW YORK, NY 10104 |
Filed by mult. reporting pers. | |||
OUDINOT PARTICIPATIONS 26, RUE DU COLISEE PARIS, I0 75008 |
Filed by mult. reporting pers. |
Alvin H. Fenichel (See Attachment A) | 08/19/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Units Representing Assignments of Beneficial Ownership of Limited Partnership Interests. |
(2) | These securities are directly owned by ACMC, Inc. ("ACMC"), an indirect wholly-owned subsidiary of AXA Financial, Inc. ("AXA Financial"). |
(3) | AXA indirectly owns all of the common stock (the "Common Stock") of AXA Financial, which is the direct and indirect beneficial owner of the securities covered by this Form 4. As of February 28, 2005, the Mutuelles AXA, as a Group, directly and indirectly (through Finaxa) owned 20.34% of the issued ordinary shares (representing 32.20% of the voting power) of AXA. The Mutuelles AXA, Finaxa and AXA 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. |
(4) | AXA has deposited its shares of Common Stock into a voting trust. AXA will remain the beneficial owner of such Common Stock, but during the term of the voting trust, the AXA Voting Trustees will exercise all voting rights wth respect to the Common Stock. Accordingly, 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. |
(5) | In addition to the units ("Holding Units") representing assignments of beneficial ownership of limited partnership interests in Alliance Capital Management Holding L.P. ("Holding") reported in this Form 4, the Reporting Persons beneficially own units ("Capital Units") of limited partnership interest in Alliance Capital Management L.P. ("Capital") as follows. As of August 19, 2005, AXA Financial beneficially owned directly 32,699,454 Capital Units; ACMC, 66,220,822 Capital Units; ECMC, LLC, 40,880,637 Capital Units; AXA Equitable Life Insurance Company ("AXA Equitable"), 7,765,204 Capital Units; MONY Life Insurance Company ("MONY Life"), 4,389,192 Capital Units; MONY Life Insurance Company of America ("MLOA"), 1,225,000 Capital Units; and Alliance Capital Management Corporation, a wholly-owned subsidiary of AXA Equitable, owned a 1% general partnership interest in Capital and 100,000 units of general partnership interest in Holding. |
(6) | 300 Capital Units were acquired from an unaffiliated third party in a private transaction by a wholly-owned subsidiary of AXA Financial, for a price of $37.43 per Capital Unit, the closing price of a Holding Unit as quoted on the New York Stock Exchange composite tape on October 28, 2004, the settlement date for this transaction. The AXA Financial subsidiary subsequently transferred these 300 Capital Units to its parent, AXA Financial. |
(7) | For more information on the Reporting Persons' holdings of Capital Units, see their separate Form 4 filings with respect to Capital Units. |
(8) | The Capital Units are highly illiquid, and the ability of a holder of Capital Units to exchange them in the future for Holding Units if it so desires is substantially limited. In general, transfers of Capital Units will be allowed only with the written consent of both AXA Equitable and the general partner of Capital. AXA Equitable and the general partner of Capital 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. |
(9) | These securities are directly owned by ECMC, LLC, an indirect wholly-owned subsidiary of AXA Financial. |
Remarks: 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. |