As filed with the Securities and Exchange Commission on August 1, 2008
Registration No. 333-
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
AXA
(Exact name of registrant as specified in its charter)
THE REPUBLIC OF FRANCE N/A
(State or other jurisdiction of (IRS Employer
incorporation or organization) Identification Number)
---------------------------------
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25 AVENUE MATIGNON--75008 PARIS--FRANCE
(011 33 1) 40 75 57 00
(Address, including zip code, and telephone number,
including area code, of registrant's principal executive offices)
AXA SHAREPLAN 2008
(Full Title of the Plan)
RICHARD V. SILVER, ESQ.
EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL
AXA FINANCIAL, INC.
1290 AVENUE OF THE AMERICAS
NEW YORK, NEW YORK 10104
(212) 314-3916
(Name, address, including zip code, and telephone number,
including area code, of agent for service)
Indicate by check mark whether the registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting company. See
the definition of "large accelerated filer," "accelerated filer" and "smaller
reporting company" in Rule-12b-2 of the Exchange Act.
Large accelerated filer [X] Accelerated filer [ ]
Non-accelerated filer [ ] (Do not check if a smaller reporting company)
Smaller reporting company [ ]
CALCULATION OF REGISTRATION FEE
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MAXIMUM
TITLE OF SECURITIES TITLE AMOUNT TO BE OFFERING AGGREGATE OFFERING AMOUNT OF
TO BE REGISTERED OF PLAN REGISTERED PRICE PER SHARE (2) PRICE (2) REGISTRATION FEE
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Ordinary Shares (1) AXA SHAREPLAN 2008 11,100,000 $29.06 $322,566,000 $12,676.84
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(1) These shares may be represented by the Registrant's American Depositary
Shares, each of which represents one Ordinary Share. American Depositary
Shares issuable upon deposit of the securities registered hereby have been
registered under a separate registration statement on Form F-6
(Registration No. 333-13376).
(2) Estimated solely for the purposes of computing the amount of the
registration fee pursuant to Rule 457(c) under the Securities Act of 1933,
based upon the average of the high and low prices of AXA's Ordinary Shares
reported on the Euronext Paris on July 30, 2008 of 18.68 Euro per
Ordinary Share translated into U.S. dollars at the noon buying rate in New
York for cable transfers in Euro as certified for customs purposes by the
Federal Reserve Bank of New York on that date of $1.5559 per 1.00 Euro.
ITEM 1. PLAN INFORMATION.
Not required to be filed with the Securities and Exchange
Commission (the "Commission").
ITEM 2. REGISTRANT INFORMATION AND EMPLOYEE PLAN ANNUAL INFORMATION.
Not required to be filed with the Commission.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE
The following documents are incorporated by reference herein and
shall be deemed a part hereof, except that the following information in the
below documents shall not be deemed incorporated by reference herein or a part
hereof: information related to underlying earnings, adjusted earnings, embedded
value or components thereof (including, without limitation, life new business
contribution, life new business margin, and life new business premiums); margin
analysis; and any other information that would constitute a non-GAAP financial
measure subject to the rules and regulations of the Commission.
(a) AXA's Annual Report on Form 20-F for the year ended December 31,
2007 (the "2007 Form 20-F");
(b) AXA's Current Reports on Form 6-K furnished to the Commission on
January 31, 2008, February 28, 2008, April 28, 2008 and May 7,
2008;
(c) The description of AXA's Ordinary Shares and American Depositary
Shares contained in Item 10 of AXA's 2007 Form 20-F; and
(d) All other reports filed (or furnished) by the Registrant pursuant
to Section 13(a) or 15(d) of the Securities Exchange Act of 1934,
as amended (the "Exchange Act"), since December 31, 2007.
To the extent designated therein, certain Current Reports of AXA on
Form 6-K, and all other documents filed by AXA pursuant to Section 13(a), 13(c),
14 or 15(d) of the Exchange Act, prior to the filing of a post-effective
amendment which indicates that all securities offered herein have been sold or
which deregisters all such securities then remaining unsold, shall be deemed to
be incorporated by reference herein and to be part hereof from the date of
filing of such documents, except for information related to underlying earnings,
adjusted earnings, embedded value or components thereof (including, without
limitation, life new business contribution, life new business margin, and life
new business premiums); margin analysis; and any other information that would
constitute a non-GAAP financial measure subject to the rules and regulations of
the Commission.
Any statement contained herein or in any document incorporated or
deemed to be incorporated by reference herein shall be deemed to be modified or
superseded for the purposes of this Registration Statement to the extent that a
statement contained herein or in any document filed with or furnished to the
Commission subsequently to that document and incorporated herein by reference or
in any other document filed subsequent to the date of this Registration
Statement which also is or is deemed to be incorporated by reference herein
modifies or supersedes such statement. Any such statement so modified or
superseded shall not be deemed, except as so modified or superseded, to
constitute a part of this Registration Statement.
ITEM 4. DESCRIPTION OF SECURITIES
Not applicable.
ITEM 5. INTERESTS OF NAMED EXPERTS AND COUNSEL
George Stansfield, Executive Vice President and General Counsel,
has given his opinion about certain legal matters affecting AXA Ordinary Shares
registered under this Registration Statement. George Stansfield owns, or has the
right to acquire, AXA restricted shares, AXA American Depository Receipts and
AXA Ordinary Shares.
ITEM 6. INDEMNIFICATION OF DIRECTORS AND OFFICERS
AXA maintains liability insurance for its directors and officers,
including insurance against certain liabilities under the Securities Act of
1933, as amended (the "Securities Act").
ITEM 7. EXEMPTION FROM REGISTRATION CLAIMED
Not applicable.
ITEM 8. EXHIBITS
See Exhibit Index.
ITEM 9. UNDERTAKINGS
(a) The undersigned Registrant hereby undertakes:
(1) To file, during any period in which offers or sales are being
made, a post-effective amendment to this Registration Statement:
(i) To include any Prospectus required by Section 10(a)(3) of
the Securities Act;
(ii) To reflect in the Prospectus any facts or events arising
after the effective date of the Registration Statement (or the
most recent post-effective amendment thereof)
which, individually or in the aggregate, represent a fundamental
change in the information set forth in the Registration Statement.
Notwithstanding the foregoing, any increase or decrease in volume
of securities offered (if the total dollar value of securities
offered would not exceed that which was registered) and any
deviation from the low or high end of the estimated maximum
offering range may be reflected in a form of prospectus filed with
the Commission pursuant to Rule 424(b) if, in the aggregate, the
changes in volume and price represent no more than 20% change in
the maximum aggregate offering price set forth in the "Calculation
of Registration Fee" table in this registration statement.
(iii) To include any material information with respect to the
plan of distribution not previously disclosed in the Registration
Statement or any material change to such information in the
Registration Statement.
provided, however, that
(A) Paragraphs (a)(1)(i) and (a)(1)(ii) do not apply if the
registration statement is on Form S-8 and the information required
to be included in a post-effective amendment by those paragraphs is
contained in periodic reports filed with or furnished to the
Commission by the Registrant pursuant to Section 13 or Section
15(d) of the Exchange Act that are incorporated by reference in
this Registration Statement; and
(B) Paragraphs (a)(1)(i), (a)(1)(ii) and (a)(1)(iii) of this
section do not apply if the registration statement is on Form S-3
or Form F-3 and the information required to be included in a
post-effective amendment by those paragraphs is contained in
reports filed with or furnished to the Commission by the registrant
pursuant to section 13 or section 15(d) of the Exchange Act that
are incorporated by reference in this registration statement, or is
contained in a form of prospectus filed pursuant to Rule 424(b)
that is part of this registration statement.
(2) That, for the purpose of determining any liability under the
Securities Act, each such post-effective amendment shall be deemed to be a new
registration statement relating to the securities offered therein, and the
offering of such securities at that time shall be deemed to be the initial bona
fide offering thereof.
(3) To remove from registration by means of a post-effective
amendment any of the securities being registered which remain unsold at the
termination of the offering.
(4) That, for the purpose of determining liability under the
Securities Act to any purchaser:
(i) If the registrant is relying on Rule 430B:
(A) Each prospectus filed by the registrant pursuant to Rule
424(b)(3)shall be deemed to be part of this registration
statement as of the date the filed prospectus was deemed part
of and included in this registration statement; and
(B) Each prospectus required to be filed pursuant to Rule
424(b)(2), (b)(5), or (b)(7) as part of a registration
statement in reliance on Rule 430B relating to an offering
made pursuant to Rule 415(a)(1)(i), (vii), or (x) for the
purpose of providing the information required by section 10(a)
of the Securities Act shall be deemed to be part of and
included in this registration statement as of the earlier of
the date such form of prospectus is first used after
effectiveness or the date of the first contract of sale of
securities in the offering described in the prospectus. As
provided in Rule 430B, for liability purposes of the issuer
and any person that is at that date an underwriter, such date
shall be deemed to be a new effective date of this
registration statement relating to the securities in this
registration statement to which that prospectus relates, and
the offering of such securities at that time shall be deemed
to be the initial bona fide offering thereof. Provided,
however, that no statement made in this registration statement
or prospectus that is part of this registration statement or
made in a document incorporated or deemed incorporated by
reference into this registration statement or prospectus that
is part of this registration statement will, as to a purchaser
with a time of contract of sale prior to such effective date,
supersede or modify any statement that was made in this
registration statement or prospectus that was part of this
registration statement or made in any such document
immediately prior to such effective date; or
(ii) If the registrant is subject to Rule 430C, each prospectus
filed pursuant to Rule 424(b) as part of this registration
statement relating to an offering, other than registration
statements relying on Rule 430B or other than prospectuses
filed in reliance on Rule 430A, shall be deemed to be part of
and included in this registration statement as of the date it
is first used after effectiveness; provided, however, that no
statement made in this registration statement or prospectus
that is part of this registration statement or made in a
document incorporated or deemed incorporated by reference into
this registration statement or prospectus that is part of this
registration statement will, as to a purchaser with a time of
contract of sale prior to such first use, supersede or modify
any statement that was made in this registration statement or
prospectus that was part of this registration statement or
made in any such document immediately prior to such date of
first use.
(5) That, for the purpose of determining liability of the
registrant under the Securities Act to any purchaser in the initial distribution
of the securities: The undersigned registrant undertakes that in a primary
offering of securities of the undersigned registrant pursuant to this
registration statement, regardless of the underwriting method used to sell the
securities to the purchaser, if the securities are offered or sold to such
purchaser by means of any of the following communications, the undersigned
registrant will be a seller to the purchaser and will be considered to offer or
sell such securities to such purchaser:
(i) Any preliminary prospectus or prospectus of the undersigned
registrant relating to the offering required to be filed
pursuant to Rule 424;
(ii) Any free writing prospectus relating to the offering prepared
by or on behalf of the undersigned registrant or used or
referred to by the undersigned registrant;
(iii) The portion of any other free writing prospectus relating to
the offering containing material information about the
undersigned registrant or its securities provided by or on
behalf of the undersigned registrant; and
(iv) Any other communication that is an offer in the offering made
by the undersigned registrant to the purchaser.
(b) That, for purposes of determining any liability under the
Securities Act, each filing of the Registrant's annual report pursuant to
Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each
filing of an employee benefit plan's annual report pursuant to Section 15(d) of
the Exchange Act) that is incorporated by reference in this Registration
Statement shall be deemed to be a new registration statement relating to the
securities offered therein, and the offering of such securities at that time
shall be deemed to be the initial bona fide offering thereof.
(c) Insofar as indemnification for liabilities arising under the
Securities Act may be permitted to directors, officers and controlling persons
of the Registrant pursuant to the foregoing provisions, or otherwise, the
Registrant has been advised that in the opinion of the Commission such
indemnification is against public policy as expressed in the Securities Act and
is, therefore, unenforceable. In the event that a claim for indemnification
against such liabilities (other than the payment by the Registrant of expenses
incurred or paid by a director, officer or controlling person of the Registrant
in the successful defense of any action, suit or proceeding) is asserted by such
director, officer or controlling person in connection with the securities being
registered, the Registrant will, unless in the opinion of its counsel the matter
has been settled by controlling precedent, submit to a court of appropriate
jurisdiction the question whether such indemnification by it is against public
policy as expressed in the Securities Act and will be governed by the final
adjudication of such issue.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended,
the Registrant certifies that it has reasonable grounds to believe that it meets
all the requirements for filing on Form S-8 and has duly caused this
Registration Statement to be signed on its behalf by the undersigned, thereunto
duly authorized, in Paris, France, on August 1, 2008.
AXA
By: /s/ Denis Duverne
---------------------------
Denis Duverne
Chief Financial Officer and
Member of the Management Board
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POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature
appears below hereby constitutes and appoints Denis Duverne and George
Stansfield, as attorney-in-fact and agent, with full power of substitution and
resubstitution, to sign on his or her behalf, individually and in any and all
capacities, including the capacities stated below, any and all amendments
(including post-effective amendments) to this registration statement,
supplements to this registration statement and any registration statements filed
by the registrant pursuant to Rule 462(b) of the Securities Act of 1933 relating
thereto and to file the same, with all exhibits thereto, and other documents in
connection therewith, with the Securities and Exchange Commission, granting to
said attorney-in-fact and agent, full power and authority to do and perform each
and every act and thing requisite and necessary to be done in and about the
premises, as fully to all intents and purposes as he or she might or could do in
person, hereby ratifying and confirming all that said attorney-in-fact and
agent, or his substitute, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, this
registration statement has been signed by the following persons in the
capacities and on the dates indicated.
Name Title Date
---- ----- ----
/s/ Henri de Castries Chairman of the Management Board August 1, 2008
--------------------------------- (Principal Executive Officer)
Henri de Castries
/s/ Denis Duverne Member of the Management Board August 1, 2008
--------------------------------- (Chief Financial Officer)
Denis Duverne
/s/ Laurent Clamagirand Group Financial Controller August 1, 2008
--------------------------------- (Principal Accounting Officer)
Laurent Clamagirand
/s/ Francois Pierson Member of the Management Board August 1, 2008
---------------------------------
Francois Pierson
/s/ Claude Brunet Member of the Management Board August 1, 2008
---------------------------------
Claude Brunet
/s/ Alfred Bouckaert Member of the Management Board August 1, 2008
---------------------------------
Alfred Bouckaert
/s/ Christopher M. Condron Member of the Management August 1, 2008
--------------------------------- Board (Authorized Representative in
Christopher M. Condron the United States)
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EXHIBIT INDEX
Exhibit
Number Description of Exhibit
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4.1 Statuts of AXA, as amended (incorporated by reference to
Exhibit 1 to AXA's Form 20-F for the year ended December 31,
2007).
4.2 Amended and Restated Deposit Agreement, dated as of April 27,
2001, among AXA, The Bank of New York and all owners from
time to time of American Depositary Receipts issued
thereunder, filed as Exhibit 3A to the Company's Registration
Statement on Form F-6 filed on April 18, 2001 (Registration
No. 333-13376) and incorporated herein by reference.
5.1 Opinion of George Stansfield, General Counsel of AXA.
23.1 Consent of PricewaterhouseCoopers Audit.
23.2 Consent of George Stansfield, General Counsel of AXA (contained
in the opinion filed as Exhibit 5.1 to this Registration
Statement).
24 Powers of Attorney (included on the signature pages hereto).
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