UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 9)
ALLIANCE CAPITAL MANAGEMENT HOLDING L.P.
(f/k/a Alliance Capital Management L.P.)
(Name of Issuer)
Units Representing Assignments of Beneficial
Ownership of Limited Partnership Interests
(Title of Class of Securities)
01855A101
(CUSIP Number)
Alvin H. Fenichel
Senior Vice President and Controller
AXA Financial, Inc.
1290 Avenue of the Americas
New York, New York 10104
(212) 314-4094
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
With a copy to:
Christianne Butte, Head of Central Legal Department
AXA, 25, avenue Matignon
75008 Paris, France
011-331-40-75-56-38
November 25, 2002
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition which is the subject of this Schedule 13D, and is
filing this schedule because of ss. 240.13d-1(e), 240.13d-1(f) or
240.13d-1(g), check the following box [ ].
NOTE: Schedules filed in paper format shall include a signed original
and five copies of the schedule, including all exhibits. See Rule 13d-7 for
other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not
be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
(Continued on following pages)
SCHEDULE 13D
CUSIP No. 01855A101 Page 2 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
AXA
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
HC, CO
--------------------------------------------------------------------------------
2
SCHEDULE 13D
CUSIP No. 01855A101 Page 3 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
FINAXA
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
HC,CO
--------------------------------------------------------------------------------
3
SCHEDULE 13D
CUSIP No. 01855A101 Page 4 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
AXA Assurances I.A.R.D. Mutuelle
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IC
--------------------------------------------------------------------------------
4
SCHEDULE 13D
CUSIP No. 01855A101 Page 5 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
AXA Assurances Vie Mutuelle
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IC
--------------------------------------------------------------------------------
5
SCHEDULE 13D
CUSIP No. 01855A101 Page 6 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
AXA Courtage Assurances Mutuelle
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IC
--------------------------------------------------------------------------------
6
SCHEDULE 13D
CUSIP No. 01855A101 Page 7 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
AXA Conseil Vie Assurance Mutuelle
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [x]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IC
--------------------------------------------------------------------------------
7
SCHEDULE 13D
CUSIP No. 01855A101 Page 8 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Claude Bebear, as AXA Voting Trustee
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Citizen of France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IN
--------------------------------------------------------------------------------
8
SCHEDULE 13D
CUSIP No. 01855A101 Page 9 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Henri de Castries, as AXA Voting Trustee
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Citizen of France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IN
--------------------------------------------------------------------------------
9
SCHEDULE 13D
CUSIP No. 01855A101 Page 10 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Francoise Colloc'h, as AXA Voting Trustee
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Citizen of France
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
See Item 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY See Item 5
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH See Item 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
See Item 5
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Item 5
(Not to be construed as an admission of beneficial ownership)
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IN
--------------------------------------------------------------------------------
10
SCHEDULE 13D
CUSIP No. 01855A101 Page 11 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
AXA Financial, Inc.
13-3623351
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
1,444,356 - See Items 4 and 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH 1,444,356 - See Items 4 and 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Item 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
HC,CO
--------------------------------------------------------------------------------
11
SCHEDULE 13D
CUSIP No. 01855A101 Page 12 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
AXA Financial Services, LLC
52-2197822
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
1,444,356 - See Items 4 and 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH 1,444,356 - See Items 4 and 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Items 4 and 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
HC,OO
--------------------------------------------------------------------------------
12
SCHEDULE 13D
CUSIP No. 01855A101 Page 13 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
The Equitable Life Assurance Society of the United States
13-5570651
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
1,444,356 - See Items 4 and 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH 1,444,356 - See Items 4 and 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,444,356 - See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9% - See Items 4 and 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IC,CO
--------------------------------------------------------------------------------
13
SCHEDULE 13D
CUSIP No. 01855A101 Page 14 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
Equitable Holdings, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
AF
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
722,178 - See Items 4 and 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH 722,178 - See Items 4 and 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
722,178 - See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% - See Items 4 and 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
HC,OO
--------------------------------------------------------------------------------
14
SCHEDULE 13D
CUSIP No. 01855A101 Page 15 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
ACMC, Inc.
13-2677213
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
722,178 - See Items 4 and 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH 722,178 - See Items 4 and 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
722,178 - See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% - See Items 4 and 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
CO
--------------------------------------------------------------------------------
15
SCHEDULE 13D
CUSIP No. 01855A101 Page 16 of 87 Pages
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only)
ECMC, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
722,178 - See Items 4 and 5
SHARES -----------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
-----------------------------------------------------
EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH 722,178 - See Items 4 and 5
-----------------------------------------------------
10 SHARED DISPOSITIVE POWER
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
722,178 - See Items 4 and 5
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% - See Items 4 and 5
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
CO
--------------------------------------------------------------------------------
16
Page 17 of 87 Pages
This Amendment No. 9 amends the Statement on Schedule 13D ("Schedule
13D") initially filed on August 4, 1992 with the Securities and Exchange
Commission by AXA, Midi Participations, Finaxa, the Mutuelles AXA (as herein
defined) and the Trustees of a Voting Trust (established pursuant to the Voting
Trust Agreement dated as of May 12, 1992 (the "Original Voting Trust
Agreement")), as amended by Amendment No. 1 to the Schedule 13D filed on July
29,1993 ("Amendment No. 1"), Amendment No. 2 to the Schedule 13D filed on
September 14, 1994 ("Amendment No. 2"), Amendment No. 3 to the Schedule 13D
filed on October 22, 1996 ("Amendment No. 3"), Amendment No. 4 to the Schedule
13D filed on July 11, 1997 ("Amendment No. 4"), Amendment No. 5 to the Schedule
13D filed on September 4, 1997 ("Amendment No. 5"), Amendment No. 6 to the
Schedule 13D filed on April 9, 1999 ("Amendment No. 6"), Amendment No. 7 to the
Schedule 13D filed on November 4, 1999 ("Amendment No. 7"), and Amendment No. 8
to the Schedule 13D filed on June 23, 2000, each of which was filed by AXA,
Midi Participations (except as to Amendment Nos. 3, 4, 5, 6, 7 and 8), Finaxa,
the Mutuelles AXA, the Trustees, AXA Financial, Inc. (formerly known as The
Equitable Companies Incorporated), The Equitable Life Assurance Society of the
United States, Equitable Holding Corporation (which was merged in 1997 into
Equitable Holdings, LLC), Equitable Investment Corporation (which was merged in
November 1999 into Equitable Holdings, LLC), ACMC, Inc. and ECMC, LLC (successor
by merger to Equitable Capital Management Corporation), which Schedule 13D
relates to Units representing assignments of beneficial ownership of limited
partnership interests of Alliance Capital Management Holding L.P. (formerly
known as Alliance Capital Management L.P.), a Delaware limited partnership
("Alliance").
ITEM 2. IDENTITY AND BACKGROUND
Item 2 of the Schedule 13D is hereby amended and restated in its
entirety as follows.
This statement is being filed by (i) AXA, a company organized under the
laws of France, (ii) Finaxa, a holding company organized under the laws of
France, (iii) AXA Assurances I.A.R.D. Mutuelle, AXA Assurances Vie Mutuelle, AXA
Courtage Assurance Mutuelle (formerly known as Uni Europe Assurance Mutuelle)
and AXA Conseil Vie Assurance Mutuelle (formerly known as Alpha Assurances Vie
Mutuelle), four mutual insurance companies organized under the laws of France
(the "Mutuelles AXA"), (iv) Claude Bebear (Chairman of the Supervisory Board of
AXA), Henri de Castries (Chairman of the Management Board of AXA) and Francoise
Colloc'h (a member of the Management Board of AXA), as Trustees (the "Trustees")
of a Voting Trust (the "Voting Trust") established pursuant to the Original
Voting Trust Agreement and currently governed by an Amended and Restated Voting
Trust Agreement dated as of May 12, 2002, by and among AXA and the Trustees (the
"Amended Voting Trust Agreement" and, together with the Original Voting Trust
Agreement, the "Voting Trust Agreement"), (v) AXA Financial, Inc. (formerly
known as The Equitable Companies
17
Page 18 of 87 Pages
Incorporated), a Delaware corporation ("AXF"), (vi) AXA Financial Services, LLC
(formerly known as AXA Client Solutions, LLC), a Delaware limited liability
company whose sole member is AXF ("AXFS"), (vii) The Equitable Life Assurance
Society of the United States, a New York stock life insurance company
("Equitable"), (viii) Equitable Holdings, LLC ("EHLLC") (Equitable Investment
Corporation merged into EHLLC in November 1999), a New York limited liability
company whose sole member is Equitable, (ix) ACMC, Inc., a Delaware corporation
("ACMC"), and (x) ECMC, LLC ("ECMC"), a Delaware limited liability company whose
sole member is Equitable Holdings, LLC and which is the successor by merger to
Equitable Capital Management Corporation. AXA, Finaxa, the Mutuelles AXA, the
Trustees, AXF, AXFS, Equitable, EHLLC, ACMC and ECMC are hereinafter
collectively referred to as the "Reporting Persons."
AXA. AXA is a holding company for an international group of insurance
and related financial service companies. The address of AXA's principal business
and office is 25, avenue Matignon, 75008 Paris, France. As of March 19, 2002,
approximately 17.8% of the issued ordinary shares (representing approximately
28.8% of the voting power) of AXA were directly or indirectly owned by Finaxa.
As of March 19, 2002, the Mutuelles AXA, in addition to their indirect
beneficial ownership of AXA's ordinary shares through Finaxa, directly
beneficially owned approximately 2.8% of AXA's ordinary shares (representing
approximately 4.4% of the voting power). In addition, as of March 19, 2002,
approximately 1.7% of the ordinary shares of AXA without the power to vote were
owned by certain subsidiaries of AXA.
Finaxa. Finaxa is a holding company. The address of Finaxa's principal
business and office is 23, avenue Matignon, 75008 Paris, France. As of March 19,
2002, approximately 69.5% of the voting shares (representing approximately 79.5%
of the voting power) of Finaxa were owned by the Mutuelles AXA, and
approximately 22.2% of the voting shares (representing approximately 13.7% of
the voting power) of Finaxa were owned by BNP Paribas, a French bank.
The Mutuelles AXA. The Mutuelles AXA are AXA Assurances I.A.R.D.
Mutuelle, AXA Assurances Vie Mutuelle, AXA Courtage Assurance Mutuelle (formerly
known as Uni Europe Assurance Mutuelle) and AXA Conseil Vie Assurance Mutuelle
(formerly known as Alpha Assurances Vie Mutuelle). Each of the Mutuelles AXA is
a mutual insurance company organized under the laws of France. The address of
each of the Mutuelles AXA's principal business and office is as follows: (i) for
each of AXA Assurances I.A.R.D. Mutuelle, AXA Assurances Vie Mutuelle and AXA
Conseil Vie Assurance Mutuelle is 370, rue Saint Honore, 75001 Paris, France;
and (ii) for AXA Courtage Assurance Mutuelle is 26, rue Louis le Grand, 75002
Paris, France.
The Trustees. In order to ensure, for insurance regulatory purposes,
that certain indirect minority shareholders of AXA are not able to exercise
control over AXF and certain of its insurance subsidiaries, AXA has agreed
pursuant to the Voting Trust
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Page 19 of 87 Pages
Agreement to deposit in the Voting Trust the shares of capital stock of AXF
having voting powers beneficially owned by AXA and certain of its affiliates.
AXA or any such affiliate depositing capital stock in the Voting Trust will
remain the beneficial owner of all capital stock deposited by it in the Voting
Trust, but during the term of the Voting Trust the Trustees will exercise all
voting rights with respect to such capital stock. Additional information
relating to the Voting Trust Agreement is set forth in the Schedule 13D filed by
AXA with respect to its ownership of the capital stock of AXF.
Information with respect to the Trustees is set forth on Exhibit 1
hereto since each of the Trustees is a member of the Supervisory or Management
Board of AXA.
AXF and Subsidiaries. AXF is a holding company. As of November 25,
2002, 100% of the outstanding shares of common stock of AXF were beneficially
owned by AXA. AXF and its subsidiaries (including Equitable, an indirect
wholly-owned subsidiary) provide diversified financial services to a broad
spectrum of financial advisory, insurance and investment management customers.
AXFS, whose sole member is AXF, wholly owns Equitable, which in turn wholly owns
ACMC. EHLLC, whose sole member is Equitable, is the sole member of ECMC. ECMC,
ACMC, EHLLC, AXFS and AXF are holding companies. The address of the principal
business and principal office of AXF, AXFS, Equitable, EHLLC, ACMC and ECMC is
1290 Avenue of the Americas, New York, New York 10104.
The (i) name, (ii) residence or business address, (iii) present
principal occupation or employment and the name, principal business and address
of any corporation or other organization in which such employment is conducted
and (iv) citizenship of each of the executive officers and directors of each of
the Reporting Persons are set forth on Exhibits 1 through 13 hereto. None of the
Reporting Persons nor, to the knowledge of any Reporting Person, any natural
person named in Exhibits 1 through 13 hereto has, during the last five years,
been convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or was a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of which any such
Reporting Person or person was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or mandating activities
subject to, Federal or state securities laws or finding any violation with
respect to such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Item 3 of the Schedule 13D is hereby amended by inserting the following
paragraph at the end thereof.
The source of funds for the purchase of 8,160,000 units of limited
partnership interests of Alliance Capital ("Alliance Capital Units") reported by
the Reporting Persons
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Page 20 of 87 Pages
was working capital of ECMC. See response to Item 4 for a summary of the
transaction pursuant to which 8,160,000 Alliance Capital Units were purchased by
ECMC.
ITEM 4. PURPOSE OF TRANSACTION
Item 4 of the Schedule 13D is hereby amended by inserting the following
paragraph at the end thereof.
On October 2, 2000, Alliance Capital acquired substantially all of the
assets and assumed substantially all of the liabilities of Sanford C. Bernstein
Inc. ("SCB") and its subsidiaries (the "Acquisition"). In connection with the
Acquisition, AXF entered into a purchase agreement with SCB and Alliance
Capital, dated as of June 20, 2000 (the "Purchase Agreement"), pursuant to which
it granted SCB the right, beginning on the second anniversary of the closing of
the Acquisition, to cause AXF or its designee to purchase the Alliance Capital
Units received by SCB as part of consideration for the Acquisition (in the
aggregate, such Alliance Capital Units are referred to herein as the "Equity
Consideration"). This right is exercisable no more than once annually during
each of the eight years following the second anniversary of the closing of the
Acquisition, in an amount not to exceed 20% of the Equity Consideration per year
and subject to deferral under certain circumstances.
On November 8, 2002, SCB delivered a notice to AXF stating that it was
exercising its right to sell 8,160,000 Alliance Capital Units under the Purchase
Agreement (the "Exercise Notice"). On November 20, 2002, as contemplated by the
Purchase Agreement, AXF delivered a notice to SCB specifying November 25, 2002
as the settlement date and designating ECMC to be the purchaser (the "Settlement
Notice"). The closing of the purchase took place on November 25, 2002. At the
closing, ECMC purchased from SCB Partners Inc., a wholly owned subsidiary of
SCB, 8,160,000 Alliance Capital Units at $30.601 per unit, resulting in an
aggregate purchase price of $249,704,160. As provided in the Purchase Agreement,
the purchase price per Alliance Capital Unit is the average of the closing
prices of Units as quoted on the New York Stock Exchange composite tape for the
ten trading days ending on November 15, 2002, the fifth trading day following
the November 8, 2002 exercise date.
Except as set forth in this statement, none of the Reporting Persons
has any plans or proposals described in Item 4(a)-(j) of Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Items 5(a), (b) and (c) are hereby amended and restated in their
entirety as set forth below.
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Page 21 of 87 Pages
(a) & (b) At the close of business on November 20, 2002: AXF did not
beneficially own directly any Units and beneficially owned 32,623,675 Alliance
Capital Units representing approximately 13.5% of the Alliance Capital Units
outstanding; Equitable did not beneficially own directly any Units and
beneficially owned 5,219,396 Alliance Capital Units representing approximately
2.1% of the Alliance Capital Units outstanding; ACMC beneficially owned directly
722,178 Units representing approximately 0.9% of the Units outstanding and
66,220,822 Alliance Capital Units representing approximately 26.5% of the
Alliance Capital Units outstanding; and ECMC beneficially owned directly 722,178
Units representing approximately 0.9% of the Units outstanding and 32,575,727
Alliance Capital Units representing approximately 13.0% of the Alliance Capital
Units outstanding. Equitable, ACMC and ECMC have the sole power to vote or
direct the vote and the sole power to dispose or direct the disposition of each
of their respective Units and Alliance Capital Units. By reason of its ownership
interest in ECMC, EHLLC may be deemed to beneficially own indirectly, and to
have voting and dispositive power with respect to the 722,178 Units owned by
ECMC, representing approximately 0.9% of the Units outstanding, and the
32,575,727 Alliance Capital Units owned by ECMC representing approximately 13.0%
of the Alliance Capital Units outstanding. By reason of its ownership interest
in ACMC and ECMC, Equitable may be deemed to beneficially own indirectly, and to
have voting and dispositive power with respect to, the 722,178 Units owned by
ACMC and the 722,178 Units owned by ECMC, which together represent approximately
1.9% of the Units outstanding, and the 66,220,822 Alliance Capital Units owned
by ACMC and the 32,575,727 Alliance Capital Units owned by ECMC, which, together
with the 5,219,396 Alliance Capital Units owned directly by Equitable, represent
41.6% of the Alliance Capital Units outstanding. By reason of its ownership
interest in ACMC, ECMC and Equitable, AXFS may be deemed to beneficially own
indirectly, and to have voting and dispositive power with respect to, the
722,178 Units owned by ACMC and the 722,178 Units owned by ECMC, together
representing approximately 1.9% of the Units outstanding, and the 66,220,822
Alliance Capital Units owned by ACMC and the 32,575,727 Alliance Capital Units
owned by ECMC, which, together with the 5,219,396 Alliance Capital Units owned
directly by Equitable, represent 41.6% of the Alliance Capital Units
outstanding. By reason of its ownership interest in ACMC, ECMC, Equitable and
AXFS, AXF may be deemed to beneficially own indirectly, and to have voting and
dispositive power with respect to, the 722,178 Units owned by ACMC and the
722,178 Units owned by ECMC, together representing approximately 1.9% of the
Units outstanding, and the 66,220,822 Alliance Capital Units owned by ACMC, the
32,575,727 Alliance Capital Units owned by ECMC and the 5,219,396 Alliance
Capital Units owned directly by Equitable, which, together with the 32,623,675
Alliance Capital Units owned directly by AXF, represent approximately 54.6% of
the Alliance Capital Units outstanding. (This excludes Units acquired by
Alliance solely for investment purposes on behalf of client discretionary
accounts.)
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Page 22 of 87 Pages
AXA, by virtue of its ownership of 100% of the outstanding shares of
common stock of AXF, may be deemed to beneficially own all of the Units and
Alliance Capital Units owned indirectly by AXF. By reason of the Voting Trust
Agreement, the Trustees may also be deemed to be beneficial owners of such Units
and Alliance Capital Units. In addition, the Mutuelles AXA, as a group, and
Finaxa may be deemed to be beneficial owners of such Units and Alliance Capital
Units. Each of AXA, Finaxa, the Mutuelles AXA and the Trustees expressly
declares that the filing of this Schedule 13D shall not be construed as an
admission that it is, for purposes of Section 13(d) of the Securities Exchange
Act of 1934, as amended, the beneficial owner of such Units or Alliance Capital
Units.
AXA, by reason of its relationship with AXF, may be deemed to share the
power to vote or direct the vote and to dispose or direct the disposition of all
of the Units and Alliance Capital Units beneficially owned by AXF. By reason of
the Voting Trust arrangement, the Trustees may be deemed and, by reason of their
relationship with AXA, the Mutuelles AXA, as a group, and Finaxa may be deemed,
to share the power to vote or to direct the vote and to dispose or to direct the
disposition of all the Units and Alliance Capital Units beneficially owned by
AXF.
To the knowledge of the Reporting Persons, the following directors and
executive officers of the Reporting Persons listed in Exhibits 1 through 13
hereto beneficially own the following number of outstanding Units and Alliance
Capital Units and options or other rights to acquire Units presently or within
60 days:
Bruce W. Calvert 1,520,000 Units (includes 1,020,000 Units which
Mr. Calvert may acquire within 60 days under
Alliance Capital Option Plans);
500,000 Alliance Capital Units
Henri de Castries 2,000 Units
John S. Chalsty 18,000 Units
Christopher M. Condron 5,000 Units
Denis Duverne 2,000 Units
John T. Hartley 1,460 Units (all of which are owned by his spouse,
Martha Hartley)
W. Edwin Jarmain 4,000 Units (includes 2,000 Units which Mr.
Jarmain may acquire within 60 days under Alliance
Capital Option Plans)
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Page 23 of 87 Pages
George J. Sella, Jr. 5,000 Units
Peter J. Tobin 2,000 Units (represents 2,000 Units which Mr.
Tobin may acquire within 60 days under Alliance
Capital Option Plans)
Stanley B. Tulin 4,000 Units
Other than as described above and in Item 4 above, none of the
Reporting Persons beneficially owns any Units or Alliance Capital Units or
options or other rights to acquire Units or Alliance Capital Units presently or
within 60 days and, to the knowledge of the Reporting Persons, none of the
natural persons listed in Exhibits 1 through 13 hereto beneficially owns any
Units or options and other rights to acquire Units within 60 days.
(c) Other than as described in Item 4 above, during the 60 days
preceding the filing of this Amendment, no transactions in Units or Alliance
Capital Units were made by the Reporting Persons, or, to the knowledge of the
Reporting Persons, any natural person named in Exhibits 1 through 13 hereto.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER
Item 6 of the Schedule 13D is hereby amended by inserting the following
text at the end thereof.
The Original Voting Trust Agreement was due to expire pursuant to its
terms on May 12, 2002. AXA and the Voting Trustees renewed the terms of the
Original Voting Trust Agreement for an additional 10 year period by way of the
Amended Voting Trust Agreement.
See response to Item 4 for a summary of the Exercise Notice and the
Settlement Notice.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Exhibit 1 Information with respect to Members of the Management Board,
Supervisory Board and Executive Officers of AXA
Exhibit 2 Information with respect to Executive Officers of Finaxa and Members
of Finaxa's Conseil d'Administration
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Page 24 of 87 Pages
Exhibit 3 Information with respect to Executive Officers of AXA Assurances
I.A.R.D. Mutuelle and Members of AXA Assurances I.A.R.D. Mutuelle's
Conseil d'Administration
Exhibit 4 Information with respect to Executive Officers of AXA Assurances
Vie Mutuelle and Members of AXA Assurances Vie Mutuelle's Conseil
d'Administration
Exhibit 5 Information with respect to Executive Officers of AXA Courtage
Assurance Mutuelle and Members of AXA Courtage Assurance Mutuelle's
Conseil d'Administration
Exhibit 6 Information with respect to Executive Officers of AXA Conseil Vie
Assurance Mutuelle and Members of AXA Conseil Vie Assurance
Mutuelle's Conseil d'Administration
Exhibit 7 Intentionally omitted since Alpha Assurances I.A.R.D. Mutuelle was
merged into Alpha Assurances Vie Mutuelle (now known as AXA Conseil
Vie Assurance Mutuelle)
Exhibit 8 Information with respect to the Executive Officers and Directors
of AXA Financial, Inc. (which is the sole member of AXA Financial
Services, LLC)
Exhibit 9 Information with respect to the Executive Officers and Directors
of The Equitable Life Assurance Society of the United States (which
is the sole member of Equitable Holdings, LLC)
Exhibit 10 Intentionally omitted since Equitable Holding Corporation has
merged into Equitable Holdings, LLC, whose sole member is The
Equitable Life Assurance Society of the United States
Exhibit 11 Intentionally omitted since Equitable Investment Corporation has
merged into Equitable Holdings, LLC, whose sole member is The
Equitable Life Assurance Society of the United States
Exhibit 12 Information with respect to the Executive Officers and Directors
of ACMC, Inc.
Exhibit 13 Intentionally omitted since Equitable Capital Management
Corporation has merged into ECMC, LLC, whose sole member is
Equitable Holdings, LLC
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Page 25 of 87 Pages
Exhibit 14 Filing Agreement with respect to the Schedule 13D among the
Reporting Persons (incorporated by reference to Exhibit 17 of the
Schedule 13D filed on August 4, 1992)
Exhibit 15 Amended and Restated Voting Trust Agreement, dated as of May 12,
2002
Exhibit 16 Purchase Agreement, dated as of June 20, 2000, between AXF,
Alliance Capital and SCB (incorporated by reference to Exhibit 22
filed with Amendment 8 to Schedule 13D filed on June 23, 2000)
Exhibit 17 Exercise Notice, dated November 8, 2002, pursuant to Section
2.4.1 of the Purchase Agreement
Exhibit 18 Settlement Notice, dated November 20, 2002, pursuant to Sections
2.1 and 2.4.2 of the Purchase Agreement
Exhibit 19 Powers of Attorney for the Voting Trustees, dated July 5, 2002
(with respect to Claude Bebear and Henri de Castries) and July 10,
2002 (with respect to Francoise Colloc'h)
Exhibit 20 Powers of Attorney with respect to AXA, Finaxa and the Mutuelles AXA
(incorporated by reference to Exhibit 11 to the Schedule 13D filed
with the Securities and Exchange Commission on June 30, 2000 with
respect to the Alliance Capital Units)
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Page 26 of 87 Pages
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: November 27, 2002
AXA
FINAXA
AXA ASSURANCES I.A.R.D. MUTUELLE
AXA ASSURANCES VIE MUTUELLE
AXA COURTAGE ASSURANCE MUTUELLE
AXA CONSEIL VIE ASSURANCE MUTUELLE
CLAUDE BEBEAR, HENRI DE CASTRIES
AND FRANCOISE COLLOC'H,
AS AXA VOTING TRUSTEES UNDER THE
VOTING TRUST AGREEMENT
By /s/ Alvin H. Fenichel
-----------------------------------------
Signature
Alvin H. Fenichel, Attorney-in-Fact
-----------------------------------------
Name/Title
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Page 27 of 87 Pages
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: November 27, 2002
AXA FINANCIAL, INC.
By: /s/ Alvin H. Fenichel
--------------------------------------------
Name: Alvin H. Fenichel
Title: Senior Vice President and Controller
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Page 28 of 87 Pages
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: November 27, 2002
AXA FINANCIAL SERVICES, LLC
By: /s/ Alvin H. Fenichel
---------------------------------------------
Name: Alvin H. Fenichel
Title: Senior Vice President and Controller
28
Page 29 of 87 Pages
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: November 27, 2002
THE EQUITABLE LIFE ASSURANCE SOCIETY OF
THE UNITED STATES
By: /s/ Alvin H. Fenichel
--------------------------------------------
Name: Alvin H. Fenichel
Title: Senior Vice President and Controller
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Page 30 of 87 Pages
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: November 27, 2002
EQUITABLE HOLDINGS, LLC
By /s/Alvin H. Fenichel
-------------------------------------------
Name: Alvin H. Fenichel
Title: Authorized Signatory
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Page 31 of 87 Pages
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: November 27, 2002
ACMC, INC.
By /s/Kevin R. Byrne
-------------------------------------------
Name: Kevin R. Byrne
Title: Senior Vice President and
Chief Financial Officer
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Page 32 of 87 Pages
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: November 27, 2002
ECMC, LLC
By /s/Alvin H. Fenichel
-------------------------------------------
Name: Alvin H. Fenichel
Title: Authorized Signatory
32