UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 12b-25
NOTIFICATION OF LATE FILING
Commission File Number 1-11166
(Check one): |_|Form 10-K |_|Form 20-F |_|Form 11-K |X|Form 10-Q |_|Form 10-D
|_|Form N-SAR |_|Form N-CSR
For Period Ended: March 31, 2010
|_|Transition Report on Form 10-K
|_|Transition Report on Form 20-F
|_|Transition Report on Form 11-K
|_|Transition Report on Form 10-Q
|_|Transition Report on Form N-SAR
For the Transition Period Ended:
Nothing in this form shall be construed to imply that the Commission has
verified any information contained herein.
If the notification relates to a portion of the filing checked above, identify
the Item(s) to which the notification relates: N/A
PART I -- REGISTRANT INFORMATION
Full Name of Registrant: AXA Financial, Inc.
Former Name if Applicable: N/A
Address of Principal Executive Office (Street and Number): 1290 Avenue of the
Americas
City, State and Zip Code: New York, NY 10104
PART II -- RULES 12b-25(b) AND (c)
If the subject report could not be filed without unreasonable effort or expense
and the registrant seeks relief pursuant to Rule 12b-25(b), the following should
be completed. (Check box if appropriate)
| (a) The reason described in reasonable detail in Part III of this form
| could not be eliminated without unreasonable effort or expense
|
| (b) The subject annual report, semi-annual report, transition report on
| Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or
| portion thereof, will be filed on or before the fifteenth calendar
|X| | day following the prescribed due date; or the subject quarterly
| report or transition report on Form 10-Q or subject distribution
| report on Form 10-D, or portion thereof, will be filed on or before
| the fifth calendar day following the prescribed due date; and
|
| (c) The accountant's statement or other exhibit required by Rule
| 12b-25(c) has been attached if applicable.
PART III -- NARRATIVE
State below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR,
N-CSR, or the transition report or portion thereof, could not be filed within
the prescribed time period.
AXA Financial, Inc. (the "Company") will be unable to file its Quarterly Report
on Form 10-Q for the quarter ended March 31, 2010 (the "Form 10-Q") by the
required filing date of May 17, 2010. The Company is a wholly owned subsidiary
of AXA S.A. ("AXA"). AXA delisted from the New York Stock Exchange effective
March 25, 2010 and filed a Form 15-F on March 26, 2010 with the Securities and
Exchange Commission to deregister under the Securities Exchange Act of 1934, as
amended. As a result of AXA's deregistration, the Company will no longer be
entitled to file periodic reports using the reduced disclosure format. In light
of the Company's transition from the reduced disclosure format, the Company
requires additional time to prepare the information required to be included in
the Form 10-Q. The Company expects to file the Form 10-Q no later than May 24,
2010.
PART IV -- OTHER INFORMATION
(1) Name and telephone number of person to contact in regard to this
notification
Richard S. Dziadzio (212) 554-1234
- ------------------------------- ----------- --------------------------
(Name) (Area Code) (Telephone Number)
(2) Have all other periodic reports required under Section 13 or 15(d) of the
Securities Exchange Act of 1934 or Section 30 of the Investment Company Act
of 1940 during the preceding 12 months or for such shorter period that the
registrant was required to file such report(s) been filed? If answer is no,
identify report(s).
Yes |X| No |_|
(3) Is it anticipated that any significant change in results of operations from
the corresponding period for the last fiscal year will be reflected by the
earnings statements to be included in the subject report or portion
thereof?
Yes |X| No |_|
If so, attach an explanation of the anticipated change, both narratively and
quantitatively, and, if appropriate, state the reasons why a reasonable estimate
of the results cannot be made.
AXA Financial, Inc. expects to report that net earnings attributable to AXA
Financial, Inc. for the first three months ended March 31, 2010 were $287.1
million, a difference of $326.2 million from the $39.1 million of net loss
attributable to AXA Financial, Inc. for the first three months ended March 31,
2009.
AXA Financial, Inc.
(Name of Registrant as Specified in Charter)
has caused this notification to be signed on its behalf by the undersigned
hereunto duly authorized.
Date: May 17, 2010 By: /s/ Richard S. Dziadzio
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Name: Richard S. Dziadzio
Title: Executive Vice President
and Chief Financial Officer