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): November 10, 2004
AXA FINANCIAL, INC.
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(Exact name of Registrant as specified in its charter)
Delaware 1-11166 13-3623351
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(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
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(Address of principal executive offices) (Zip Code)
(212) 554-1234
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(Registrant's telephone number, including area code)
None
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(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 2.02 RESULTS OF OPERATIONS AND FINANCIAL CONDITION.
On November 10, 2004, AXA, the Registrant's parent company, issued a press
release announcing its consolidated revenues for the nine months ended September
30, 2004, prepared in accordance with accounting principles generally accepted
in France ("French GAAP"). Set forth in Exhibit 99.1 is the AXA press release.
Included within AXA's revenues for the nine months ended September 30, 2004 set
forth in the AXA press release is the contribution of the Registrant and its
consolidated subsidiaries, presented in accordance with French GAAP. The AXA
press release includes "Gross Revenues" for United States Life & Savings
operations, which is a reference to the Registrant's Financial
Advisory/Insurance segment. "Gross Revenues" is not a measure calculated and
presented in accordance with generally accepted accounting principles in the
United States ("U.S. GAAP"). Set forth in Exhibit 99.2 is a reconciliation of
the Registrant's contribution to AXA's United States Life & Savings Gross
Revenues for the nine months ended September 30, 2004 prepared in accordance
with French GAAP to the premiums of the Registrant and its consolidated
subsidiaries prepared in accordance U.S. GAAP for the same period.
In accordance with General Instruction B.2 of Form 8-K, the information in this
Current Report on Form 8-K, including Exhibits 99.1 and 99.2, shall not be
deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act
of 1934, as amended (the "Exchange Act"), or otherwise subject to the liability
of that section, and shall not be incorporated by reference into any
registration statement or other document filed under the Securities Act of 1933,
as amended, or the Exchange Act, except as shall be expressly set forth by
specific reference in such filing.
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: November 12, 2004 By: /s/ Alvin H. Fenichel
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Name: Alvin H. Fenichel
Title: Senior Vice President and
Controller
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EXHIBIT INDEX
EXHIBIT NUMBER EXHIBIT DESCRIPTION
99.1 Press Release, dated November 10, 2004, of AXA.
99.2 Reconciliation of AXA US Life & Savings Contribution to AXA French
GAAP Gross Revenues with Consolidated AXA Financial, Inc. Premiums
under US GAAP.