SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): September 27, 2004
AXA FINANCIAL, INC.
- -------------------------------------------------------------------------------
(Exact name of Registrant as specified in its charter)
Delaware 1-11166 13-3623351
- -------------------------------------------------------------------------------
(State or other jurisdiction of (Commission File Number) (I.R.S. Employer
incorporation or organization) Identification No.)
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)
None
-------------------------------------------------------------------------
(Former name or address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions (see General Instruction A.2. below):
/ / Written communications pursuant to Rule 425 under the Securities Act
(17 CFR 230.425)
/ / Soliciting material pursuant to Rule 14a-12 under the Exchange Act
(17 CFR 240.14a-12)
/ / Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b))
/ / Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c))
ITEM 1.01 ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT.
On September 27, 2004, AXA Financial, Inc. (the "Company") and AXA
Equitable Life Insurance Company ("AXA Equitable") entered into an Amended and
Restated Employment Agreement (the "Agreement") with Stanley B. Tulin, Vice
Chairman and Chief Financial Officer of both the Company and AXA Equitable. The
Agreement supersedes in its entirety the parties' Restated Employment Agreement
dated as of July 5, 2001, which was previously filed with the SEC. Among other
things, the Agreement specifies the nature, duties, job titles and term of Mr.
Tulin's employment, discusses Mr. Tulin's compensation and employee benefits,
and indicates the consequences if Mr. Tulin's employment with the Company and
AXA Equitable is terminated for any reason.
The foregoing description of the Agreement is qualified in its entirety by
reference to the provisions of the Agreement, which is attached as Exhibit 10.1
to this Form 8-K. Also attached, as Exhibits 10.2 and 10.3, are two letter
agreements dated as of September 27, 2004, executed by Christopher M. Condron,
President and Chief Executive Officer of the Company and Chairman, President
and Chief Executive Officer of AXA Equitable, and Mr. Tulin, also relating to
Mr. Tulin's compensation and benefits provided by the Company and AXA Equitable.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.
(c) Exhibits
The following exhibits are filed herewith:
10.1 Amended and Restated Employment Agreement, dated as of
September 27, 2004, between the Company, AXA Equitable, and
Stanley B. Tulin.
10.2 Letter Agreement, dated as of September 27, 2004, executed by
Christopher M. Condron and Stanley B. Tulin, re "Additional
Benefits."
10.3 Letter Agreement, dated as of September 27, 2004, executed by
Christopher M. Condron and Stanley B. Tulin, re "AXA's
Performance Unit Plan."
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934,
the Registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
AXA FINANCIAL, INC.
Date: October 1, 2004 By: /s/ Alvin H. Fenichel
---------------------
Name: Alvin H. Fenichel
Title: Senior Vice President and
Controller
EXHIBIT INDEX
EXHIBIT NUMBER EXHIBIT DESCRIPTION
10.1 Amended and Restated Employment Agreement, dated as of
September 27, 2004, between the Company, AXA Equitable, and
Stanley B. Tulin.
10.2 Letter Agreement, dated as of September 27, 2004, executed by
Christopher M. Condron and Stanley B. Tulin, re "Additional
Benefits."
10.3 Letter Agreement, dated as of September 27, 2004, executed by
Christopher M. Condron and Stanley B. Tulin, re "AXA's
Performance Unit Plan."