Attached files
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): February 17, 2011
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 February 17, 2011, AXA, the Registrant's parent company, issued a press
release announcing its consolidated 2010 results of operations, prepared in
accordance with International Financial Reporting Standards ("IFRS"). Set forth
in Exhibit 99.1 is the AXA press release. Included within AXA's consolidated
2010 results of operations are the results of operations of the Registrant and
its consolidated subsidiaries, presented in accordance with IFRS. The AXA press
release includes "AXA Group IFRS Revenues", "Underlying Earnings," "Adjusted
Earnings" and "Net Income, Group Share" for United States Life & Savings
operations, which is a reference to the Registrant's Financial
Advisory/Insurance segment. "AXA Group IFRS Revenues", "Underlying Earnings,"
"Adjusted Earnings" and "Net Income, Group Share" are not measures calculated
and presented in accordance with generally accepted accounting principles in the
United States ("U.S. GAAP"). Set forth in Exhibit 99.2 are reconciliations of
(a) the AXA U.S. Life & Savings Contribution to AXA Group IFRS Revenues for the
years ended December 31, 2010 and 2009 to the Registrant's U.S. GAAP Premiums
for the same periods and (b) the Registrant's contribution to AXA IFRS
Underlying Earnings (IFRS net income excluding net realized capital gains
(losses), goodwill and related intangibles, profit and loss on financial assets
(under the fair value option), derivatives and exceptional operations), Adjusted
Earnings and Net Income, Group Share for the years ended December 31, 2010 and
2009 to the Registrant's consolidated U.S. GAAP Net Earnings for the same
periods.
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.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.
EXHIBIT
NUMBER EXHIBIT DESCRIPTION
99.1 Press Release, dated February 17, 2011, of AXA.
99.2 Reconciliation of AXA U.S. Life and Savings Contribution to AXA Group
IFRS Revenues with Consolidated AXA Financial, Inc. Premiums under
U.S. GAAP and Reconciliation of the Registrant's Contribution to AXA
IFRS Underlying Earnings, Adjusted Earnings and Net Income, Group
Share for the years ended December 31, 2010 and 2009 to the
Registrant's consolidated U.S. GAAP Net Earnings.
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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: February 17, 2011 By: /s/ Alvin H. Fenichel
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Name: Alvin H. Fenichel
Title: Senior Vice President and
Chief Accounting Officer
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