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Home/Filings/4/0001005477-09-000012
4//SEC Filing

AXA ASSURANCES VIE MUTUELLE ET AL 4

Accession 0001005477-09-000012

CIK 0001109448other
View on SEC.govCompany Profile

Filed

Jan 1, 7:00 PM ET

Accepted

Jan 2, 4:12 PM ET

Size

33.5 KB

Accession

0001005477-09-000012

Insider Transaction Report

Form 4
Period: 2008-12-30
ALLIANCEBERNSTEIN L.P.NONE
AXA FINANCIAL (BERMUDA) LTD.
10% OwnerOther
Transactions
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
Holdings

  • Units of Limited Partnership Interest

    66,220,822
AXA ASSURANCES I A R D MUTUELLE ET AL
10% OwnerOther
Transactions
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
Holdings

  • Units of Limited Partnership Interest

    66,220,822
ACMC INC
10% OwnerOther
Transactions
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
Holdings

  • Units of Limited Partnership Interest

    66,220,822
AXA FINANCIAL INC
10% OwnerOther
Transactions
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
Holdings

  • Units of Limited Partnership Interest

    66,220,822
EQUITABLE HOLDINGS LLC
10% OwnerOther
Transactions
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
Holdings

  • Units of Limited Partnership Interest

    66,220,822
AXA
10% OwnerOther
Transactions
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
Holdings

  • Units of Limited Partnership Interest

    66,220,822
AXA EQUITABLE LIFE INSURANCE CO
10% OwnerOther
Transactions
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
Holdings

  • Units of Limited Partnership Interest

    66,220,822
AXA ASSURANCES VIE MUTUELLE ET AL
10% OwnerOther
Transactions
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
Holdings

  • Units of Limited Partnership Interest

    66,220,822
AXA EQUITABLE FINANCIAL SERVICES LLC
10% OwnerOther
Transactions
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+16,349,665$300,000,003→ 57,211,519 total
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+2,452,450$45,000,005→ 6,841,642 total(indirect: See Notes)
  • Purchase

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh+1,362,472$24,999,999→ 2,587,472 total(indirect: See Notes)
  • Sale

    Units of Limited Partnership Interest

    2008-12-30$18.35/sh−20,164,587$370,000,007→ 29,100,290 total
Holdings

  • Units of Limited Partnership Interest

    66,220,822
Footnotes (12)
  • [F1]These units of limited partnership interest ("AB Units") in AllianceBernstein L.P. ("AllianceBernstein") are directly owned by ACMC, Inc. ("ACMC"), an indirect wholly-owned subsidiary of AXA Financial, Inc. ("AXA Financial").
  • [F10]Does not include 8,160,000 AB Units that AXA Financial (or its designee) is expected to purchase in January 2009 pursuant to the Purchase Agreement by and among AXF, SCB Inc. and AllianceBernstein. For more information regarding this purchase, please see the separate Form 4 filings, which were filed with Securities and Exchange Commission on December 23, 2008.
  • [F11]These AB Units are directly owned by MONY Life, a wholly-owned subsidiary of AXA Financial.
  • [F12]These AB Units are directly owned by MLOA, which is wholly owned by MONY Life.
  • [F2]These AB Units are directly owned by AXA Equitable Life Insurance Company ("AXA Equitable"), an indirect wholly-owned subsidiary of AXA Financial.
  • [F3]These AB Units are directly owned by AXA Financial (Bermuda) Ltd. ("AXA Bermuda"), an indirect wholly-owned subsidiary of AXA Financial.
  • [F4]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 December 31, 2007, AXA Assurances I.A.R.D. Mutuelle and AXA Assurances Vie Mutuelle (collectively, the "Mutuelles AXA"), directly and indirectly owned approximately 14.48% of the issued ordinary shares (representing approximately 20.84% 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 securities covered by this Form 4.
  • [F5]AXA has deposited its shares of Common Stock 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. 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.
  • [F6]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 December 30, 2008, ACMC beneficially owned directly 722,178 Holding Units and 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 December 30, 2008, Holding owned 90,323,767 AB Units. For more information on the Reporting Persons' holdings of Holding Units, see their separate Form 4 filings with respect to Holding Units.
  • [F7]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.
  • [F8]On December 30, 2008, AXA Equitable sold an aggregate of 20,164,587 AB Units consisting of the sale of (i) 16,349,665 AB Units to AXA Bermuda, (ii) 2,452,450 AB Units to MONY Life Insurance Company ("MONY Life") and (iii) 1,362,472 AB Units to MONY Life Insurance Company of America ("MLOA"). Each of AXA Equitable, MONY Life and MLOA are wholly owned subsidiaries of AXA Financial.
  • [F9]The purchase price for the AB Units is equal to the average of the closing prices of a Holding Unit as quoted on the New York Stock Exchange composite tape for the ten trading days ending on December 29, 2008.

Documents

2 files

Issuer

ALLIANCEBERNSTEIN L.P.

CIK 0001109448

→
Entity typeother
IncorporatedFrance

Related Parties

1
  • filerCIK 0000898482

Filing Metadata

Form type
4
Filed
Jan 1, 7:00 PM ET
Accepted
Jan 2, 4:12 PM ET
Size
33.5 KB
View on SEC.gov