UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
AMENDMENT NO.1
(Mark One)
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| x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended September 30, 2017
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| ¨ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission File No. 000-20501
AXA Equitable Life Insurance Company
(Exact name of registrant as specified in its charter)
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| New York | | 13-5570651 |
| (State or other jurisdiction of | | (I.R.S. Employer |
| incorporation or organization) | | Identification No.) |
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| 1290 Avenue of the Americas, New York, New York | | 10104 |
| (Address of principal executive offices) | | (Zip Code) |
(212) 554-1234
(Registrant’s telephone number, including area code)
Not applicable
(Former name, former address, and former fiscal year if changed since last report.)
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No ¨
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x No ¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an “emerging growth company”. See definition of “accelerated filer,” “large accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
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| Large accelerated filer | | ¨ | | Accelerated filer | | ¨ |
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| Non-accelerated filer | | x (Do not check if a smaller reporting company) | | Smaller reporting company | | ¨ |
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| Emerging growth company | | ¨ | | | | |
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 (a) of the Exchange Act. ¨ | | |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ¨ No x
As of November 20, 2017, 2,000,000 shares of the registrant's Common Stock were outstanding.
EXPLANATORY NOTE
The sole purpose of this Amendment No. 1 to our Quarterly Report on Form 10-Q for the period ended September 30, 2017, is to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 201 of Regulation S-T, which extends the date by which the interactive data file is required to be submitted by six business days.
No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the original Form 10-Q.
Item 6. Exhibits
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| | Number | | Description and Method of Filing |
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| | 18.1 | (1) | Preferability Letter from PricewaterhouseCoopers, LLP for Accounting Principle Changes |
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| | 31.1 | (1) | Certification of the Registrant’s Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
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| | 31.2 | (1) | Certification of the Registrant’s Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
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| | 32.1 | (1) | Certification of the Registrant’s Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
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| | 32.2 | (1) | Certification of the Registrant’s Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
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| | 101.INS | | XBRL Instance Document |
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| | 101.SCH | | XBRL Taxonomy Extension Schema Document |
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| | 101.CAL | | XBRL Taxonomy Extension Calculation Linkbase Document |
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| | 101.LAB | | XBRL Taxonomy Extension Label Linkbase Document |
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| | 101.PRE | | XBRL Taxonomy Extension Presentation Linkbase Document |
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| | 101.DEF | | XBRL Taxonomy Extension Definition Linkbase Document |
(1) Incorporated by reference to Quarterly Report on Form 10-Q for quarterly period ended September 30, 2017, submitted on November 20, 2017
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, AXA Equitable Life Insurance Company has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
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| Date: November 20, 2017 | AXA EQUITABLE LIFE INSURANCE COMPANY |
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| | | By: | /s/ Anders Malmstrom |
| | | | Name: | Anders Malmstrom |
| | | | Title: | Senior Executive Director |
| | | | | and Chief Financial Officer |
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| Date: November 20, 2017 | | | /s/ Andrea Nitzan |
| | | | Name: | Andrea Nitzan |
| | | | Title: | Executive Director |
| | | | | Chief Accounting Officer and Controller |
