-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Sds/8nb3k55UurnKKSbrzWVAe1EU7Y9o+s90Qj9pPISXZLzicnEvf2Ch8MXQP0T2 BaGeUjqx+3h3H5eN/MwWmQ== 0000888002-08-000645.txt : 20080311 0000888002-08-000645.hdr.sgml : 20080311 20080311131245 ACCESSION NUMBER: 0000888002-08-000645 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20080311 DATE AS OF CHANGE: 20080311 EFFECTIVENESS DATE: 20080311 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AXA CENTRAL INDEX KEY: 0000898427 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 000000000 STATE OF INCORPORATION: I0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-03570 FILM NUMBER: 08680058 BUSINESS ADDRESS: STREET 1: 25 AVE MATIGNON CITY: PARIS FRANCE STATE: I0 BUSINESS PHONE: 2125544489 MAIL ADDRESS: STREET 1: 135 WEST 50TH ST 3RD ST STREET 2: 135 WEST 50TH ST 3RD ST CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: AXA UAP DATE OF NAME CHANGE: 19970904 13F-HR/A 1 axa13f_20070930.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2007 Check here if Amendment [ X ]; Amendment Number: _1_ This Amendment (Check only one.):[ ] is a restatement. [X ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: AXA Address: 25, avenue Matignon 75008 Paris France 13F File Number: 28-3570 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Alvin H. Fenichel Title: Attorney-in-Fact Phone: (212) 314-4094 Signature, Place, and Date of Signing: /s/ Alvin H. Fenichel New York, NY March 11, 2008 - -------------------------- -------------------- -------------------- [Signature] [City, State] [Date] (Please direct all questions to Dean Dubovy, (212) 314-5528 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 9 Form 13F Information Table Entry Total: 8,004 Form 13F Information Table Value Total: $355,448,996 (Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. 01 ALLIANCEBERNSTEIN L.P. (28-10562) 02 AXA ASSURANCES I.A.R.D. MUTUELLE (28-3636) and AXA ASSURANCES VIE MUTUELLE (28-3638)(collectively, the "Mutuelles AXA"), as a group 03 AXA FINANCIAL, INC. (28-3344) 04 AXA ROSENBERG INVESTMENT MANAGEMENT LLC (28-1734) 05 AXA EQUITABLE LIFE INSURANCE COMPANY (formerly known as The Equitable Life Assurance Society of the United States) (28-42) 09 MONY LIFE INSURANCE COMPANY 10 WINTERTHUR SWISS INSURANCE CO (28-11359)and WINTERTHUR LIFE (28-11360) On December 2, 2005, Boston Advisors, Inc. (13F File No. 28-7196), Advest, Inc. (13F File No. 28-4159), and Independent Portfolio Consultants (13F File No. 28-11449) were sold to Merrill Lynch. Information on 13F securities held by these companies appears in AXA's Forms 13F-HR for the periods ending from September 30, 2004 through and including September 30, 2005. FORM 13F INFORMATION TABLE
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 TITLE FAIR SHARES OR INVESTMENT DISCRETION VOTING AUTHORITY (SHARES) OF CUSIP MARKET PRINCIPAL (A) (B) (C) (A) (B) (C) Name of Issuer CLASS NUMBER VALUE AMOUNT SOLE DEFINED OTHER Managers SOLE SHARED NONE iShares COMEX Gold Trust ISH 464285105 4278.64 58110 X 05 02 03 58110 0 0 iShares MSCI Australia Index Fu MSC 464286103 286.57 9020 X 05 02 03 9020 0 0 iShares MSCI Canada Index Fund MSC 464286509 1282.04 39170 X 05 02 03 39170 0 0 iShares MSCI Pacific ex-Japan I MSC 464286665 9816.69 59030 X 05 02 03 59030 0 0 iShares MSCI Singapore Index Fu MSC 464286673 1885.40 127220 X 05 02 03 127220 0 0 iShares MSCI United Kingdom Ind MSC 464286699 277.11 10770 X 05 02 03 10770 0 0 iShares MSCI France Index Fund MSC 464286707 126.53 3290 X 05 02 03 3290 0 0 iShares MSCI Spain Index Fund MSC 464286764 115.52 1900 X 05 02 03 1900 0 0 iShares MSCI Germany Index Fund MSC 464286806 134.86 3900 X 05 02 03 3900 0 0 iShares MSCI Japan Index Fund MSC 464286848 14556.68 1015110 X 05 02 03 1015110 0 0 iShares MSCI Hong Kong Index Fu MSC 464286871 1726.77 82110 X 05 02 03 82110 0 0 iShares S&P 100 Index Fund S&P 464287101 4416.15 61747 X 05 02 03 61747 0 0 iShares Morningstar Large Growt LRG 464287119 2515.72 34690 X 05 02 03 34690 0 0 iShares Morningstar Large Core LRG 464287127 8048.86 98856 X 05 02 03 98856 0 0 iShares NYSE 100 Index Fund NYS 464287135 4796.96 59902 X 05 02 03 59902 0 0 iShares FTSE/Xinhua China 25 In FTS 464287184 1438.20 7990 X 05 02 03 7990 0 0 iShares S&P 500 Index Fund S&P 464287200 10235.23 66910 X 05 02 03 66910 0 0 iShares MSCI Emerging Markets I MSC 464287234 6359.10 42550 X 05 02 03 42550 0 0 iShares S&P 500 Growth Index Fu S&P 464287309 38833.15 545716 X 05 02 03 545716 0 0 iShares S&P Global Energy Secto S&P 464287341 4328.94 31360 X 05 02 03 31360 0 0 iShares S&P GSSI Natural Resour S&P 464287374 12064.58 93720 X 05 02 03 93720 0 0 iShares S&P Latin America 40 In S&P 464287390 3615.26 14970 X 05 02 03 14970 0 0 iShares S&P 500 Value Index Fun S&P 464287408 893.45 10968 X 05 02 03 10968 0 0 iShares MSCI EAFE Index Fund MSC 464287465 52183.67 631840 X 05 02 03 631840 0 0 iShares Russell Midcap Value In RUS 464287473 92457.16 611085 X 05 02 03 611085 0 0 iShares Russell Midcap Growth I RUS 464287481 4446.28 38297 X 05 02 03 38297 0 0 iShares Russell Midcap Index Fu RUS 464287499 15279.57 141229 X 05 02 03 141229 0 0 iShares S&P MidCap 400 Index Fu S&P 464287507 10266.19 116595 X 05 02 03 116595 0 0 iShares Cohen & Steers Realty M COH 464287564 3329.24 35710 X 05 02 03 35710 0 0 iShares Russell 1000 Value Inde RUS 464287598 985.51 11466 X 05 02 03 11466 0 0 iShares S&P MidCap 400 Growth I S&P 464287606 2487.88 27454 X 05 02 03 27454 0 0 iShares Russell 1000 Growth Ind RUS 464287614 43662.68 707317 X 05 02 03 707317 0 0 iShares Russell 1000 Index Fund RUS 464287622 6473.38 78049 X 05 02 03 78049 0 0 iShares S&P MidCap 400/BARRA Va S&P 464287705 29108.47 346282 X 05 02 03 346282 0 0 iShares S&P Europe 350 Index Fu S&P 464287861 68972.69 578630 X 05 02 03 578630 0 0 iShares Morningstar Large Value LAR 464288109 341.47 3907 X 05 02 03 3907 0 0 iShares Morningstar Mid Core In MID 464288208 9974.65 112976 X 05 02 03 112976 0 0 iShares Morningstar Mid Growth MID 464288307 2373.54 23540 X 05 02 03 23540 0 0 iShares Morningstar Mid Value I MID 464288406 24087.62 280807 X 05 02 03 280807 0 0 iShares MSCI EAFE Value Index F MSC 464288877 13441.49 171930 X 05 02 03 171930 0 0 iShares MSCI EAFE Growth Index MSC 464288885 16512.03 207960 X 05 02 03 207960 0 0 iShares Silver Trust ISH 46428Q109 1177.59 8610 X 05 02 03 8610 0 0 GRAND TOTAL 529593.52
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