Axa Financial Inc. 

NY

  SEC # 888002

        

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5,142  SEC Filings   from  1/7/94  to  11/8/18  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘13F-NT’ — Quarterly Holdings Notice by a Money Manager — Form 13F — for 9/30/18 — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Axa Financial Inc.

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Forms , Documents & Exhibits  in  4,736 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
11/8/18	OLD		13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F  OLD  — Assets Under Management	62
4/24/18	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	53
4/10/18	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	4,370
1/23/12	OLD		15-12B		Registration:		Certifications of Terminations of Registration of Classes of Securities — Form 15  OLD	2
11/14/11	OLD		13F-HR		Ownership:		Quarterly Holdings and Combination Reports by Money Managers — Form 13F  OLD  — Assets Under Management	22
11/10/11	OLD		10-Q		Update:		Quarterly Reports — Form 10-Q  OLD  — Financial Reports	50
10/27/11	OLD		8-K		Update:		Current Reports — Form 8-K  OLD  — Press Releases & Conference Calls	76
					8-K Items:
7/18/11	OLD		Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01  OLD  — ↓‘EX-10’	6
10/27/11	OLD		Financial Info:			•	Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports	31
7/18/11	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	3
3/13/06	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	1
5/20/11	OLD		Governance & Management:			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD	6
3/6/06	OLD		Disclosures:			•	Regulation FD Disclosure — Item 7.01  OLD  — ↓‘EX-99’	5
2/26/07	OLD		Events:			•	Other Events — Item 8.01  OLD	1
10/27/11	OLD		Financials:			•	Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports	34
10/7/11	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	4
3/10/11	OLD		10-K		Update:		Annual Reports — Form 10-K  OLD	15
5/17/10	OLD		NT 10-Q		Update:		Notice of a Late Filing of a Form 10-Q Quarterly Report — Form 12b-25  OLD	1
9/11/09	OLD		RW		Registration:		Registration Withdrawal Request  OLD	1
4/1/09	OLD		4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD	37
5/5/08	OLD		S-3		Registration:		Registration Statements – Securities for Transactions — Form S-3  OLD	6
4/28/04	OLD		DFAN14A		Proxy:		Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD	4
2/4/03	OLD		NO ACT		SEC:		SEC No-Action Letters re: Shareholder Proposals  OLD	6
1/3/01	OLD		SC 14D9		Ownership:		Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD	4
10/18/00	OLD		SC14D9C		Ownership:		Tender-Offer Communications by Issuers re: Third-Party Offers — Schedule 14D-9C  OLD	3
8/4/00	OLD		424B5		Registration:		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD	5
7/25/00	OLD		S-3MEF		Registration:		Registration Statement to Add Securities to a Prior Form S-3 Registration  OLD	1
3/30/00	OLD		DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A  OLD	4
2/28/00	OLD		PRE 14A		Proxy:		Preliminary Proxy Statements — Schedule 14A  OLD	3
9/10/99	OLD		424B4		Registration:		Prospectuses – Info Previously Omitted & New Facts or Events  OLD	2
4/14/98	OLD		424B3		Registration:		Prospectus – New Facts or Events  OLD	1
3/31/98	OLD		S-8		Registration:		Registration Statement – Securities for an Employee Benefit Plan — Form S-8  OLD	1
6/2/97	OLD		POS AM		Registration:		Post-Effective Amendments of Registration Statements  OLD	2
4/21/97	OLD		3		Ownership:		Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3  OLD	1
					General Exhibits:
9/9/16	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			13
2/14/12	OLD		EX-24		Powers of Attorney  OLD			4,325
11/10/11	OLD		EX-10		Material Contracts  OLD			38
3/10/11	OLD		EX-13		Annual and Quarterly Reports to Security Holders  OLD			6
3/10/11	OLD		EX-23		Consents of Experts and Counsel  OLD			38
3/10/11	OLD		EX-21		Subsidiaries Lists  OLD			5
11/10/10	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			5
2/23/04	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			6
3/28/03	OLD		EX-9		Voting Trust Agreements  OLD			2
2/12/03	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			32
7/25/00	OLD		EX-5		Opinions of Counsel re: Legality  OLD			5
2/2/98	OLD		EX-25		Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2  OLD			11
					Additional Exhibits:
4/24/18	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases & Conference Calls			350
					Financials:
11/10/11	OLD		EX-31		Certifications — §302 – SOA’02  OLD			70
11/10/11	OLD		EX-32		Certifications — §906 – SOA’02  OLD			68
11/10/11	OLD		XML  &  R#		IDEA Financial Reports Info  OLD  — Financial Reports			40
11/10/11	OLD		EXCEL		IDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports			2
11/10/11	OLD		EX-101.*		XBRL Data  (XBRL Files)  OLD			12
11/10/11	OLD		ZIP		XBRL Zipped Folders   (Folders of XBRL Files)  OLD			2
3/13/06	OLD		EX-16		Letter re: a Change in Accountant  OLD			1
3/28/03	OLD		EX-18		Letters re: Changes in Accounting Principles and Practices  OLD			3
11/14/00	OLD		EX-27		Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports			19
8/1/00	OLD		EX-12		Statements re: Computations of Ratios  OLD			3
					Graphics:
11/10/11	OLD		GRAPHIC		Photos, Images and Graphs  OLD			307

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

As Of			Quarter (Ended)		Holdings Form 13F				Assets (Millions)		Reporting Manager Manager with whom Investment Discretion is Shared
2/13/19			12/31/18		3,118	of	3,118		$134,582		TN	Alliancebernstein L.P.
11/8/18			9/30/18		116	of	2,422		$1,705			Axa S.A. [ formerly AXA ]

Forms , Documents & Exhibits  in  35 Filings  Filed re:  Issuer / Subject Company

        

        

Latest Filing			Type		Category	Description		Documents
2/14/12	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	5
1/3/01	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	9
1/3/01	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	8
1/3/01	OLD		SC 14D9		Ownership:		Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD	4
1/3/01	OLD		SC TO-T		Ownership:		Tender-Offer Statements by Third Parties — Schedule TO  OLD	10
1/2/01	OLD		3		Ownership:		Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3  OLD	1
10/18/00	OLD		SC14D9C		Ownership:		Tender-Offer Communications by Issuers re: Third-Party Offers — Schedule 14D-9C  OLD	2
					Letters:
12/5/11	OLD		LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			4
					General Exhibits:
2/14/12	OLD		EX-24		Power of Attorney  OLD			1
12/14/00	OLD		EX-21		Subsidiaries List  OLD			1
					Additional Exhibits:
1/3/01	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			18

        

Filings History

Year		# of Filings
2018		18
2017		18
2016		17
2015		11
2014		8
2013		13
2012		12
2011		151
2010		220
2009		364
2008		422
2007		363
2006		337
2005		309
2004		303
2003		321
2002		272
2001		293
2000		341
1999		320
1998		340
1997		279
1996		167
1995		120
1994		123