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Equitable Holdings, Inc. — Director's Dealing 2006
Dec 11, 2006
30390_dirs_2006-12-11_dd695a8e-bc80-4199-8935-a4a1441b1264.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALLIANCEBERNSTEIN L.P. (NONE)
CIK: 0001109448
Period of Report: 2006-12-07
Reporting Person: BEBEAR CLAUDE (10% Owner, Filed by mult. reporting pers.)
Reporting Person: CASTRIES HENRI DE (10% Owner, Filed by mult. reporting pers.)
Reporting Person: DUVERNE DENIS (10% Owner, Filed by mult. reporting pers.)
Reporting Person: MONY HOLDINGS LLC (10% Owner, Filed by mult. reporting pers.)
Reporting Person: MONY LIFE INSURANCE CO (10% Owner, Filed by mult. reporting pers.)
Reporting Person: MONY LIFE INSURANCE CO OF AMERICA (10% Owner, Filed by mult. reporting pers.)
Reporting Person: OUDINOT PARTICIPATIONS (10% Owner, Filed by mult. reporting pers.)
Reporting Person: AXA AMERICA HOLDINGS, INC. (10% Owner, Filed by mult. reporting pers.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2006-12-07 | Units of Limited Partnership Interest | J | 1300 | $79.7 | Acquired | 32700754 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Units of Limited Partnership Interest | 66220822 | Indirect |
| Units of Limited Partnership Interest | 40880637 | Indirect |
| Units of Limited Partnership Interest | 8165204 | Indirect |
| Units of Limited Partnership Interest | 4389192 | Direct |
| Units of Limited Partnership Interest | 1225000 | Direct |
Footnotes
F1: These units ("AB Units") of limited partnership interest in AllianceBernstein L.P. (f/k/a Alliance Capital Management L.P.)("AllianceBernstein") are directly owned by ACMC, Inc. ("ACMC"), an indirect wholly-owned subsidiary of AXA Financial, Inc. ("AXA Financial").
F2: These AB Units are directly owned by ECMC, LLC ("ECMC"), an indirect wholly-owned subsidiary of AXA Financial.
F3: These AB Units are directly owned by AXA Equitable Life Insurance Company ("AXA Equitable"), 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 February 28, 2006, the Mutuelles AXA, as a group, directly and indirectly owned approximately 14.30% of the issued ordinary shares (representing approximately 23.29% 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. (f/k/a Alliance Capital Management Holding L.P.) ("Holding") as follows. As of December 7, 2006, ACMC beneficially owned directly 722,178 Holding Units, ECMC beneficially owned directly 722,178 Holding Units and AXA Equitable did not beneficially own directly any Holding Units. Equitable Holdings, LLC wholly owns AllianceBernstein Corporation (f/k/a Alliance Capital Management Corporation), the general partner of both AllianceBernstein and Holding. As of December 7, 2006, Holding owned 85,012,489 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: AXA Financial has purchased 1,300 AB Units from two unaffiliated third parties. The purchase price for each of the AB Units whose acquisition is being reported on this Form 4 is $79.70 per AB Unit, which was the closing price for a Holding Unit as quoted on the New York Stock Exchange on December 7, 2006.
F9: These AB Units are directly owned by AXA Financial.
F10: These AB Units are directly owned by MONY Life Insurance Company, which is wholly owned by MONY Holdings, LLC, a wholly-owned subsidiary of AXA Financial.
F11: These AB Units are directly owned by MONY Life Insurance Company of America, which is wholly owned by MONY Life.