SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
11-K
(Mark
One)
x
|
ANNUAL
REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF
1934
|
|
For
the fiscal year ended December 31,
2008.
|
OR
o
|
TRANSITION
REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF
1934
|
|
For
transition period from ______________ to
_______________.
|
Commission
file number
-
001-14410
A.
|
Full
title of the plan and address of the plan if different from that of the
issuer named below:
|
AXA Equitable 401(k) Plan, 1290
Avenue of Americas, New York, NY
10104
|
B.
|
Name
of issuer of the securities held pursuant to the plan and the address of
its principal executive office:
|
25, Avenue Matignon, 75008
Paris,
France
|
AXA
EQUITABLE 401(k) PLAN
|
Page
|
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Report of
Independent Registered Public Accounting Firm
|
1
|
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Financial
Statements
|
|
|
|
|
|
Statements of Net
Assets Available for Benefits as of December 31, 2008 and
2007
|
2
|
|
|
|
|
Statement of Changes
in Net Assets Available for Benefits for the Year Ended December 31,
2008
|
3
|
|
|
|
|
Notes to Financial
Statements
|
4 -
15
|
|
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|
Supplemental
Schedule:
|
|
|
|
|
|
Schedule H, Part IV,
line 4i* - Schedule of Assets (Held at End of Year) December 31,
2008
|
16 -
28
|
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Signature
Page
|
29
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Exhibit:
|
|
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|
|
|
Consent of
Independent Registered Public Accounting Firm - As of and for the Years
Ended
December 31, 2008
and 2007
|
|
|
* Refers
to item number in IRS Form 5500 (Annual Return/Report of Employee Benefit Plan)
for the year ended December 31, 2008.
All other
schedules required by the Department of Labor's Rules and Regulations for
Reporting and Disclosure under the Employee Retirement Income Security Act of
1974 ("ERISA") have been omitted because they are not
applicable.
Report
of Independent Registered Public Accounting Firm
To
the Participants and
Administrator of
AXA
Equitable 401(k) Plan
In our
opinion, the accompanying statements of net assets available for benefits and
the related statement of changes in net assets available for benefits present
fairly, in all material respects, the net assets available for benefits of the
AXA Equitable 401(k) Plan (formerly, The 401(k) Plan, hereafter referred to as
the “Plan”) at December 31, 2008 and 2007, and the changes in net assets
available for benefits for the year ended December 31, 2008 in conformity with
accounting principles generally accepted in the United States of
America. These financial statements are the responsibility of the
Plan’s management. Our responsibility is to express an opinion on
these financial statements based on our audits. We conducted our audits of these
statements in accordance with the standards of the Public Company Accounting
Oversight Board (United States). Those standards require that we plan
and perform the audit to obtain reasonable assurance about whether the financial
statements are free of material misstatement. An audit includes
examining, on a test basis, evidence supporting the amounts and disclosures in
the financial statements, assessing the accounting principles used and
significant estimates made by management, and evaluating the overall financial
statement presentation. We believe that our audits provide a
reasonable basis for our opinion.
Our
audits were conducted for the purpose of forming an opinion on the basic
financial statements taken as a whole. The supplemental schedule of
assets (held at end of year) is presented for the purpose of additional analysis
and is not a required part of the basic financial statements but is
supplementary information required by the Department of Labor's Rules and
Regulations for Reporting and Disclosure under the Employee Retirement Income
Security Act of 1974. This supplemental schedule is the
responsibility of the Plan's management. The supplemental schedule
has been subjected to the auditing procedures applied in the audits of the basic
financial statements and, in our opinion, is fairly stated in all material
respects in relation to the basic financial statements taken as a
whole.
/s/
PricewaterhouseCoopers LLP
New York,
New York
June 18,
2009
AXA
EQUITABLE 401(k) PLAN
STATEMENT OF NET ASSETS AVAILABLE FOR
BENEFITS
|
|
|
December
31,
|
|
|
|
2008
|
|
|
2007
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
Investments,
at fair value (Notes 3, 4, 5 and 6)
|
|
$
|
1,467,600,011
|
|
|
$
|
1,861,867,734
|
|
|
|
|
|
|
|
|
|
|
Receivables
|
|
|
|
|
|
|
|
|
Employer
contributions
|
|
|
1,560,072
|
|
|
|
1,548,981
|
|
Other
receivables
|
|
|
2,829,612
|
|
|
|
1,424,635
|
|
|
|
|
|
|
|
|
|
|
Total
receivables
|
|
|
4,389,684
|
|
|
|
2,973,616
|
|
|
|
|
|
|
|
|
|
|
Total
assets
|
|
|
1,471,989,695
|
|
|
|
1,864,841,350
|
|
|
|
|
|
|
|
|
|
|
Liabilities
|
|
|
|
|
|
|
|
|
Amounts
due to brokers for securities purchased
|
|
|
-
|
|
|
|
31,430,560
|
|
Accrued
expenses and other liabilities
|
|
|
4,112,278
|
|
|
|
1,754,201
|
|
|
|
|
|
|
|
|
|
|
Total
liabilities
|
|
|
4,112,278
|
|
|
|
33,184,761
|
|
|
|
|
|
|
|
|
|
|
Net
assets available for benefits, at fair value
|
|
|
1,467,877,417
|
|
|
|
1,831,656,589
|
|
|
|
|
|
|
|
|
|
|
Adjustment
from fair value to contract
value for
fully benefit-responsive
investment contracts
(Note 6)
|
|
|
12,539,840
|
|
|
|
(5,459,810
|
)
|
|
|
|
|
|
|
|
|
|
Net
assets available for benefits
|
|
$
|
1,480,417,257
|
|
|
$
|
1,826,196,779
|
|
See
accompanying notes to the financial statements
AXA
EQUITABLE 401(k) PLAN
STATEMENT OF CHANGES IN NET ASSETS AVAILABLE FOR
BENEFITS
|
|
Year
Ended
|
|
|
December 31,
2008
|
|
|
|
|
Additions
|
|
|
|
Investment
income
|
|
|
|
Net
depreciation in fair value of investments (Note 3)
|
|
$
|
(463,339,854
|
)
|
Interest
|
|
|
33,589,886
|
|
Dividends
|
|
|
26,098,811
|
|
|
|
|
|
|
|
|
|
(403,651,157
|
)
|
Less
investment expenses
|
|
|
(1,543,786
|
)
|
|
|
|
|
|
Net
investment loss
|
|
|
(405,194,943
|
)
|
|
|
|
|
|
Contributions
|
|
|
|
|
Participant
|
|
|
70,365,190
|
|
Employer
|
|
|
22,236,734
|
|
|
|
|
|
|
Total
contributions
|
|
|
92,601,924
|
|
|
|
|
|
|
Total
additions
|
|
|
(312,593,019
|
)
|
|
|
|
|
|
Deductions
|
|
|
|
|
Benefits
paid to participants
|
|
|
182,201,166
|
|
Administrative
expenses
|
|
|
2,699,297
|
|
|
|
|
|
|
Total
deductions
|
|
|
184,900,463
|
|
|
|
|
|
|
Net
decrease during the year
|
|
|
(497,493,482
|
)
|
|
|
|
|
|
Transfer
of assets from MONY Life Retirement
|
|
|
|
|
Plan
for Field Underwriters
|
|
|
151,713,960
|
|
|
|
|
|
|
Net
assets available for benefits
|
|
|
|
|
Beginning
of year
|
|
|
1,826,196,779
|
|
|
|
|
|
|
End
of year
|
|
$
|
1,480,417,257
|
|
See accompanying notes to the financial statements
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
1.
|
DESCRIPTION
OF THE PLAN
|
The
following description of the AXA Equitable 401(k) Plan (the “Plan”) sponsored by
AXA Equitable Life Insurance Company (“AXA Equitable” or the “Company”) is
provided for general information purposes only. The Plan name was
changed, effective March 3, 2008 from The 401(k) Plan to the AXA Equitable
401(k) Plan. Participants should refer to the Plan document for more
complete information.
General
The Plan
is a defined contribution plan providing benefits for eligible employees and
statutory employees of AXA Equitable and certain participating
affiliates. The Plan is subject to the provisions of the Employee
Retirement Income Security Act (ERISA), as amended, and the Internal Revenue
Code (the "Code"), as amended.
Plan Fiduciary,
Administrator and Trustee
The named
fiduciaries of the Plan are the Investment Committee and the Administrative
Committee. The Administrative Committee serves as the Plan
administrator and the Investment Committee serves as the Trustee. The
Plan has an agreement with Fidelity, last amended as of December 31, 2004, to
act as Custodian of the assets of the Plan.
Eligibility
The Plan
covers full-time employees, “Group I” part-time employees, statutory employees,
as well as other employees of AXA Equitable and certain participating affiliate
employees, who were scheduled to work a minimum of 1,000 hours in a plan
year.
Contributions
Each
year, participants may contribute to the Plan on a before-tax basis, an after
tax basis, or a Roth 401(k) basis (or any combination of the foregoing), up to a
percentage of annual compensation as defined in the Plan. The maximum before-tax
and/or Roth 401(k) contribution a participant can contribute is 75% of his or
her annual compensation for both 2008 and 2007, subject to reduction by limits
imposed by the Code ($15,500 for 2008 and 2007). The maximum
after-tax contribution is $15,000 or 10% of compensation, whichever is less,
provided that the participant’s combined before-tax, Roth 401(k) and after-tax
contributions cannot exceed 85% of his or her annual compensation for 2008 and
2007. Participants who have attained age 50 before the end of the
Plan year are eligible to make catch-up contributions in the amount of $5,000
for 2008 and 2007. The maximum before-tax and/or Roth 401(k) contribution a
participant eligible for catch up contributions can contribute per the Code was
$20,500 for 2008 and 2007. Participants may also contribute amounts
representing eligible rollover distributions from other qualified defined
benefit or defined contribution plans.
AXA
Equitable matches the participant’s before-tax or Roth 401(k) contribution on a
dollar for dollar basis up to three percent of the participant’s annual eligible
compensation. AXA Equitable’s matching contribution is invested directly in the
AXA ADR Stock Fund. Participants may redirect the matching
contribution into other investment options in the Plan at any time.
AXA
EQUITABLE 401(k) PLAN
NOTES
TO
FINANCIAL
STATEMENTS
|
1.
|
DESCRIPTION
OF THE PLAN (continued)
|
Allocation
Provisions
Participants
direct the investment of their contributions into various investment options
offered by the Plan. The Plan currently offers eleven asset allocation funds
offered through a group annuity contract, seventeen mutual funds, the AXA ADR
Stock Fund and a Fixed Income Fund as investment options for
participants.
Participant
Accounts
Each
participant's account is credited with the participant's contribution and
matching contribution and investment earnings/losses, and is also charged with
an annual fee for administrative expenses taken proportionately on a quarterly
basis from each fund. The benefit to which a participant is entitled
is the benefit that can be provided from the participant's vested account
balance.
Vesting
Participants
are vested immediately in their own contributions plus actual earnings, if any,
thereon. Participants who were hired before April 29, 2002 are 100% vested in
AXA Equitable’s matching contributions. Participants hired after April 29, 2002
become 100% vested in AXA Equitable’s matching contributions upon completion of
three years of service.
Participant
Loans
Actively
employed participants may borrow from their fund accounts a minimum of $1,000 up
to a maximum equal to the lesser of $50,000 or 50% of their vested account
balance. The loans are collateralized by the balance in the participant's
account. Interest on the loan is equal to the prime rate at the
beginning of the calendar quarter during which the loan is issued plus one
percent. The interest rates for loans outstanding ranged from
five percent to eleven and one half percent as of December 31,
2008. Principal and interest is paid over a range of one to five
years for loans other than to purchase a principal residence and one to fifteen
years for residential loans.
Payment of
Benefits
Upon
termination of service or due to death, disability, or retirement, the normal
form of benefit is a single sum cash payment. Additional forms of
distribution available for participants include systematic withdrawal payments
or the purchase of an annuity. Required minimum distributions as
required by the Code are also paid, as necessary.
Forfeited
Accounts
Upon
termination of service, a participant will forfeit the non-vested portion of his
or her account balance. Forfeitures will be used to pay for
administrative expenses (see Note 7) or to reduce employer matching
contributions. The balance in the forfeiture account totaled $253,832
and $866,236 at December 31, 2008 and 2007, respectively. During
2008, $867,834 from the forfeiture account was used to pay for administrative
expenses and $400,000 was used to pay for employer matching
contributions.
Plan Expenses and
Administration
The Plan
has entered into an administrative agreement with Fidelity Investments
Institutional Services Company, Inc. for outsourcing the administration of the
Plan and investment management services. The Plan reimburses AXA
Equitable for administrative services paid on the Plan’s behalf (see Note
7).
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
2.
|
SUMMARY
OF ACCOUNTING POLICIES
|
Use of Estimates and Basis
of Accounting
The
accompanying financial statements are prepared under the accrual basis of
accounting in conformity with generally accepted accounting principles which
requires management to make estimates that affect the financial statements and
accompanying notes. Actual results could differ from those
estimates.
Accounting
Changes
Effective
January 1, 2008, and as further described in Note 4, the Plan adopted Statement
of Financial Accounting Standards (“SFAS”) No. 157, “Fair Value
Measurements”. This Statement defines fair value, establishes a
framework for measuring fair value and expands disclosures about fair value
measurements. The Plan’s adoption of this Statement did not have an
effect on the valuation of assets and liabilities.
Investment Valuation and
Income Recognition
The
Plan's investments are stated at fair value. The Plan’s investment in separate
managed accounts represents the Plan’s pro-rata share of the separate account’s
fair value and is based on the unit value of units held at year
end. Shares of asset allocation funds are valued at the net asset
values of its underlying investments in which the fund invests at year
end. Shares of mutual funds, including target date funds, are valued
at the net asset value of shares held by the Plan at year end. Shares
of AXA ADR stock are valued based on the last sale price traded on the New York
Stock Exchange. Participant loans are valued at their outstanding
balances plus accrued interest, which approximate fair value. The
fair value of a synthetic guaranteed investment contract (“GIC”) is based
on the fair value of the underlying bonds plus the present value of
the total wrap rebid value. Bonds are stated at fair value based on
the mean of bid/ask prices as provided by brokers or other pricing
services. Purchases and sales of securities are recorded on a
trade-date basis. Dividends are recorded on the ex-dividend date. Interest
income is recorded on an accrual basis.
The Plan
adopted the provisions of Financial Accounting Standards Board Staff Position,
FSP AAG INV–1 and SOP 94-4-1,
Reporting of Fully
Benefit-Responsive Investment Contracts Held by Certain Investment Companies
Subject to the AICPA Investment Company Guide and Defined Contribution Health
and Welfare and Pension Plans
(the “FSP”), which required investment
contracts held by a defined-contribution plan to be reported at fair
value. However, contract value was the relevant measurement attribute
for that portion of the net assets available for benefits of a defined
contribution plan attributable to fully benefit-responsive investment contracts
because contract value was the amount participants would have received if they
were to initiate permitted transactions under the terms of the
Plan. The Statement of Net Assets Available for Benefits presented
the fair value of the investments.
The fair
value of the investments is monitored and fluctuations in value are recorded as
an unrealized gain or loss, as necessary, depending on whether the value of the
investments has increased or decreased. When an investment is sold
the change in value from the date acquired is recognized as a realized gain or
loss.
Payment of
Benefits
Benefits
are recorded when paid.
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
The
following presents investments that represent five percent or more of the Plan's
net assets:
|
|
December
31,
|
|
|
|
2008
|
|
|
2007
|
|
|
|
|
|
|
|
|
AXA
ADR Stock, 5,336,200 and 4,798,957 shares, respectively
(a)
|
|
$
|
119,985,343
|
|
|
$
|
190,552,093
|
|
Alliance
Bernstein US Large Cap Index
|
|
|
124,599,888
|
|
|
(b)
|
|
Equity
Fund, 11,519,207 shares
|
|
(b)
|
|
|
|
146,754,697
|
|
Spartan
Extended Market Index Fund, 2,820,424 shares
|
|
(b)
|
|
|
|
108,078,665
|
|
Dodge
& Cox Balanced, 1,313,472 shares
|
|
(b)
|
|
|
|
106,391,215
|
|
Spartan
International Index Fund, 1,937,319 shares
|
|
(b)
|
|
|
|
91,635,175
|
|
Guaranteed
Investment Contracts (Note 6) (c):
|
|
|
|
|
|
|
|
|
AIG
Financial Products Co., #931942
|
|
|
164,379,174
|
|
|
|
153,738,121
|
|
NATIXIS
Financial Products, #1910-02
|
|
|
164,379,174
|
|
|
|
153,738,121
|
|
JP
Morgan Chase, #AXA-2-07
|
|
|
164,379,174
|
|
|
|
153,738,122
|
|
State
St. Bank & Trust Co. Boston, #107007
|
|
|
164,379,174
|
|
|
|
153,738,122
|
|
(a)
Nonparticipant-directed Company contributions.
|
|
|
|
|
|
|
|
|
(b)
Investment was less than 5% of the Plan's net assets at respective year
end.
|
|
|
|
|
|
(c)
GICs are presented on a fair value basis.
|
|
|
|
|
|
|
|
|
During
2008, the Plan's investments (including gains and losses on investments bought
and sold, as well as held during the year), depreciated in value by
$463,339,854, as follows:
Changes
in fair value as determined by quoted market price:
|
|
|
|
|
|
|
|
Pooled
separate accounts
|
|
$
|
(149,985,757
|
)
|
Common
stock
|
|
|
(79,099,470
|
)
|
Mutual
funds
|
|
|
(234,254,627
|
)
|
|
|
|
|
|
Total
depreciation
|
|
$
|
(463,339,854
|
)
|
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
4.
|
FAIR
VALUE DISCLOSURES
|
SFAS No.
157 defines fair value as the exchange price that would be received for an asset
or paid to transfer a liability (an exit price) in the principal or most
advantageous market for the asset or liability in an orderly transaction between
market participants on the measurement date. SFAS No. 157 also
establishes a fair value hierarchy that requires an entity to maximize the use
of observable inputs and minimize the use of unobservable inputs when measuring
fair value, and identifies three levels of inputs that may be used to measure
fair value:
|
Level
1
|
Quoted
prices for identical instruments in active markets. Level 1
fair values generally are supported by market transactions that occur with
sufficient frequency and volume to provide pricing information on an
ongoing basis.
|
|
Level
2
|
Observable
inputs other than Level 1 prices, such as quoted prices for similar
instruments, quoted prices in markets that are not active, and inputs to
model-derived valuations that are directly observable or can be
corroborated by observable market
data.
|
|
Level
3
|
Unobservable
inputs supported by little or no market activity and often requiring
significant management judgment or estimation, such as an entity’s own
assumptions about the cash flows or other significant components of value
that market participants would use in pricing the asset or
liability.
|
The
asset’s or liability’s fair value measurement level within the fair value
hierarchy is based on the lowest level that is significant to the fair value
measurement. The inputs or methodology used for valuing securities
are not necessarily an indication of the risk associated with investing in these
securities. A description of the valuation methodologies used for
assets measured at fair value is described in Note 2,
Summary of Accounting
Polic
i
es
. There have
been no changes in methodologies used at December 31, 2008 and December 31,
2007.
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
4.
|
FAIR
VALUE DISCLOSURES (continued)
|
|
Assets
measured at fair value on a recurring basis as of December 31,
2008:
|
|
|
Level
1
|
|
|
Level
2
|
|
|
Level
3
|
|
|
Total
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Assets
|
|
|
|
|
|
|
|
|
|
|
|
|
Corporate
bonds
|
|
$
|
-
|
|
|
$
|
94,420,829
|
|
|
$
|
-
|
|
|
$
|
94,420,829
|
|
Mortgage
backed securities
|
|
|
-
|
|
|
|
115,459,267
|
|
|
|
3,846,344
|
|
|
|
119,305,611
|
|
Government
securities
|
|
|
-
|
|
|
|
443,616,034
|
|
|
|
-
|
|
|
|
443,616,034
|
|
Common
stock
|
|
|
119,985,343
|
|
|
|
-
|
|
|
|
-
|
|
|
|
119,985,343
|
|
Mutual
funds
|
|
|
664,596,058
|
|
|
|
-
|
|
|
|
-
|
|
|
|
664,596,058
|
|
Wrapper
contract
|
|
|
-
|
|
|
|
-
|
|
|
|
630,006
|
|
|
|
630,006
|
|
Particpant
loans
|
|
|
-
|
|
|
|
-
|
|
|
|
25,046,130
|
|
|
|
25,046,130
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
assets
|
|
$
|
784,581,401
|
|
|
$
|
653,496,130
|
|
|
$
|
29,522,480
|
|
|
$
|
1,467,600,011
|
|
The table
below presents a reconciliation for all Level 3 assets for the 2008 Plan year,
January 1, 2008 to December 31, 2008:
|
|
Particpant
Loans
|
|
|
GIC
Wrappers
|
|
|
Mortgage
Backed Securities
|
|
|
|
|
|
|
|
|
|
|
|
Balance,
January 1, 2008
|
|
$
|
23,920,999
|
|
|
$
|
-
|
|
|
$
|
49,904
|
|
Total
gains (losses), realized and unrealized
|
|
|
|
|
|
|
|
|
|
|
|
|
Included
in changes in net assets
|
|
|
49,688
|
|
|
|
630,006
|
|
|
|
(528,966
|
)
|
Purchases/sales,
issues and settlements
|
|
|
1,075,443
|
|
|
|
-
|
|
|
|
(325,521
|
)
|
Transfers
into/out of Level 3
|
|
|
-
|
|
|
|
-
|
|
|
|
4,650,927
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Ending
Balance
|
|
$
|
25,046,130
|
|
|
$
|
630,006
|
|
|
$
|
3,846,344
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
The
amount of total gains or losses for the period
|
|
|
|
|
|
|
|
|
|
|
|
|
included
in changes in net assets attributable to
|
|
|
|
|
|
|
|
|
|
|
|
|
the
change in unrealized gains or losses
|
|
|
|
|
|
|
|
|
|
|
|
|
relating
to assets still held at December 31, 2008
|
|
$
|
-
|
|
|
$
|
630,006
|
|
|
$
|
(512,092
|
)
|
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
5.
|
NONPARTICIPANT-DIRECTED
INVESTMENTS
|
Information
about the net assets and the significant components of the changes in net assets
relating to the nonparticipant-directed investments is as follows:
|
|
December
31,
|
|
|
|
2008
|
|
|
2007
|
|
AXA
ADR Stock Fund
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Net
assets
|
|
|
|
|
|
|
Common
stock
|
|
$
|
121,547,772
|
|
|
$
|
191,357,257
|
|
Money
market
|
|
|
4,608,284
|
|
|
|
7,590,240
|
|
|
|
|
|
|
|
|
|
|
|
|
$
|
126,156,056
|
|
|
$
|
198,947,497
|
|
Changes
in net assets
|
|
|
|
|
|
|
|
|
Contributions
|
|
$
|
27,928,953
|
|
|
|
|
|
Dividends
|
|
|
7,601,966
|
|
|
|
|
|
Net
depreciation
|
|
|
(79,099,470
|
)
|
|
|
|
|
Benefits
paid to participants
|
|
|
(11,742,338
|
)
|
|
|
|
|
Expenses
|
|
|
(346,510
|
)
|
|
|
|
|
Net
transfers from participant-directed investments
|
|
|
(17,134,042
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
$
|
(72,791,441
|
)
|
|
|
|
|
Company
matching contributions are invested directly in the AXA ADR Stock
fund. A participant may redirect the investment of matching
contributions at any time.
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
|
GUARANTEED
INVESTMENT CONTRACTS
|
The Plan
has entered into various benefit-responsive GICs with various insurance
companies and other financial institutions (“Issuers” or “Issuer”) under the
Fixed Income Fund investment option (“the Fund”) as indicated in the tables
below. During 2008 and 2007 the type of GIC utilized within the Fund
were Synthetic GICs.
Synthetic
GIC
A
Synthetic GIC is a wrap contract paired with an underlying investment or
investments, usually a portfolio, owned by the Plan, of high-quality,
intermediate term fixed income securities. The Plan purchases a wrapper
contract from a financial services institution with the intent of maintaining a
stable contract value. The fair value of a Synthetic GIC equals that
total of the fair value of the underlying assets plus the total wrap rebid
value, which is calculated by discounting the annual rebid fee, due to rebid,
over the duration of the contract assets.
A
Synthetic GIC provides for a variable crediting rate, which typically resets at
least quarterly, and the Issuer of the wrap contract provides assurance that
future adjustments to the crediting rate can not result in a crediting rate less
than zero. The crediting rate is primarily based on the current
yield-to-maturity of the covered investments, plus or minus amortization of the
difference between the market value and contract value of the covered
investments over the duration of the covered investments at the time of
computation. The crediting rate is most impacted by the change in the
annual effective yield to maturity of the underlying securities, but is also
affected by the differential between the contract value and the market value of
the covered investments. This difference is amortized over the duration of
the covered investments. Depending on the change in duration from
reset period to reset period, the magnitude of the impact to the crediting rate
of the contract to market difference is heightened or lessened.
The terms
of the contract generally provide for settlement of payments only upon
termination of the contract or total liquidation of the covered
investments. Generally, payments will be made pro-rata, based on the
percentage of investments covered by each Issuer. Contract
termination also may occur by either party upon election and
notice.
A
Synthetic GIC generally imposes conditions on both the Plan and the Issuer which
can result in terminations in the event of default by the Plan or the Issuer. An
Issuer may terminate a contract if the appointed Investment Manager’s investment
management authority over the contract is limited or terminated, as well as if
all of the terms of the contract fail to be met (i.e., a breach of material
obligation under the contract; a material misrepresentation; or a material
amendment to the Plan agreement). In the event that the market value of the
covered assets is below their contract value at the time of such termination by
the Issuer, the terminating Issuer would not be required to make a payment to
the Plan. The Plan may terminate and replace a contract in various
circumstances, including where there is a default by the
Issuer. Instances where the Issuer may be in default, include but are
not limited to, the following: Issuer breach of material obligation under the
investment contract; a material misrepresentation; decline in the Issuer’s long
term credit rating below a threshold set forth in the contract; acquisition or
reorganization of the Issuer wherein the successor Issuer does not satisfy the
investment or credit guidelines applicable to the Issuer. In the event that the
market value of the covered assets is below their contract value at the time of
such termination by the Plan, the Plan may elect to keep the contract in place
until such time as the
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
6.
|
GUARANTEED
INVESTMENT CONTRACTS (continued)
|
market
value of the covered assets is equal to their contract value. The Plan may be
unable to maintain a stable contract value if the Plan is unable to promptly
find a replacement Synthetic GIC with comparable terms following termination of
a Synthetic GIC contract. The Plan will attempt to assess the credit quality of
Issuers, but there is no guarantee as to the financial condition of an Issuer.
Synthetic GIC are nontransferable, have no trading market and there are a
limited number of Issuers.
The
average yield for the Synthetic GICs based on actual earnings was 4.18% and
5.06% in 2008 and 2007, respectively. The average yield for Synthetic
GIC based on the interest rate credited to participants was 4.22% and 4.94% in
2008 and 2007, respectively.
As
described in Note 2, because the Synthetic GICs are fully benefit-responsive,
contract value is the relevant measurement attribute for that portion of the net
assets available for benefits attributable to the Synthetic GIC. Contract value
represents contributions made under the contract, plus earnings, less
participant withdrawals and administrative expenses. The Synthetic GIC purchased
by the Plan are designed to pay all participant-initiated transactions at
contract value. Participant-initiated transactions are those transactions
allowed by the Plan (typically this would include withdrawals for benefits,
loans, or transfers to non-competing funds within the Plan). However, the GICs
limit the ability of the Plan to transact at contract value with the Issuers
upon the occurrence of certain events. These events include:
·
|
The
Plan’s failure to qualify under Section 401(a) or Section 401(k) of the
Internal Revenue Code;
|
·
|
The
establishment of a defined contribution plan that competes with the Plan
for employee contributions;
|
·
|
Any
substantive modification of the Plan or the administration of the Plan
that is not consented to by the
Issuer;
|
·
|
Complete
or partial termination of the Plan;
|
·
|
Any
change in law, regulation or administrative ruling applicable to the Plan
that could have a material adverse effect on the Fund’s cash
flow;
|
·
|
Merger
or consolidation of the Plan with another plan, the transfer of Plan
assets to another plan, or the sale, spin-off or merger of a subsidiary or
division of the Plan Sponsor;
|
·
|
Any
communication given to participants by the Plan Sponsor or any other Plan
fiduciary that is designed to induce or influence participants not to
invest in the fund or to transfer assets out of the
Fund;
|
·
|
Exclusion
of a group of previously eligible employees from eligibility in the
Plan;
|
·
|
Any
early retirement program, group termination, group layoff, facility
closing, or similar program;
|
·
|
Any
transfer of assets from the Fund directly to a competing
option.
|
The Plan
Administrator does not believe that the occurrence of any such event, which
would limit the Plan’s ability to transact at contract value with participants
is probable.
There are
no reserves against contract value for credit risk of the contract Issuer or
otherwise.
AXA
EQUITABLE 401(k) PLAN
NOTES
TO FINANCIAL
STATEMENTS
|
6. GUARANTEED
INVESTMENT CONTRACTS (continued)
Guaranteed
Investment Contracts are summarized as follows:
|
|
December
31, 2008
|
|
|
|
Major
|
|
|
|
Wrapper
|
|
Adjustment
|
|
|
|
Credit
Rating
|
|
Investments
|
|
Contract
|
|
to
Contract
|
|
|
|
(Unaudited)
|
|
at
Fair Value
|
|
at
Fair Value
|
|
Value
|
|
Synthetic
GICs
|
|
|
|
|
|
|
|
|
|
AIG
Financial Products Co., #931942
|
|
A-
|
|
$
|
164,379,174
|
|
$
|
197,455
|
|
$
|
3,086,656
|
|
NATIXIS
Financial Products, #1910-02
|
|
A+
|
|
|
164,379,174
|
|
|
-
|
|
|
3,283,630
|
|
JP
Morgan Chase, #AXA-2-07
|
|
AA-
|
|
|
164,379,174
|
|
|
206,883
|
|
|
3,093,679
|
|
State
St Bk & Tr Co Boston, #107007
|
|
AA
|
|
|
164,379,174
|
|
|
225,668
|
|
|
3,075,875
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
Guaranteed Investment Contracts
|
|
|
|
$
|
657,516,696
|
|
$
|
630,006
|
|
$
|
12,539,840
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
December
31, 2007
|
|
|
|
Major
|
|
|
|
|
Wrapper
|
|
Adjustment
|
|
|
|
Credit
Rating
|
|
Investments
|
|
Contract
|
|
to
Contract
|
|
|
|
(Unaudited)
|
|
at
Fair Value
|
|
at
Fair Value
|
|
Value
|
|
Synthetic
GICs
|
|
|
|
|
|
|
|
|
|
|
|
|
AIG
Financial Products Co., #931942
|
|
AA
|
|
$
|
153,738,121
|
|
$
|
-
|
|
$
|
(1,364,636
|
)
|
NATIXIS
Financial Products, #1910-02
|
|
AAA
|
|
|
153,738,121
|
|
|
-
|
|
|
(1,364,747
|
)
|
JP
Morgan Chase, #AXA-2-07
|
|
AA
|
|
|
153,738,122
|
|
|
-
|
|
|
(1,365,680
|
)
|
State
St Bk & Tr Co Boston, #107007
|
|
AA
|
|
|
153,738,122
|
|
|
-
|
|
|
(1,364,747
|
)
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total
Guaranteed Investment Contracts
|
|
|
|
$
|
614,952,486
|
|
$
|
-
|
|
$
|
(5,459,810
|
)
|
7.
|
RELATED-PARTY
TRANSACTIONS
|
The Plan
invests in certain mutual funds managed by Fidelity Management Trust Company
(“Fidelity”), custodial trustee of the Plan. Certain Plan investments
are managed by AXA Equitable, AllianceBernstein L.P. and AXA Rosenberg, related
parties-in-interest. AllianceBernstein L.P. and AXA Rosenberg are
affiliates of AXA Equitable. Investment and administrative service
fees paid by the Plan directly to Fidelity were $1,543,786 during the year ended
December 31, 2008.
The Plan
incurred expenses in the amount of $1,181,538, including $521,491 and $154,521
of accrued expenses at December 31, 2008 and 2007, respectively, for
administrative services paid by AXA Equitable on the Plan’s behalf.
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
7.
|
RELATED-PARTY
TRANSACTIONS (continued)
|
The Plan
also invests in common stock issued by AXA S.A., the parent of AXA Equitable.
The common stock held by
participants was valued at $119,985,343 and $190,552,093 at December 31, 2008
and 2007, respectively. During the year ended December 31, 2008, the
Plan made purchases totaling $140,059,452 of common stock issued by AXA, S.A.
and received sales proceeds totaling $131,285,473 from sales of common stock
issued by AXA, S.A. The Plan received $7,601,966 in dividend income
during the year ended December 31, 2008 from AXA, S.A. common stock
held. The Plan administrator and the Plan’s counsel believe that the
Plan’s transactions with related parties are permitted by the U.S. Department of
Labor’s prohibited transaction exemptions.
Although
it has not expressed any intent to do so, AXA Equitable has the right under the
Plan to discontinue its contributions at any time and to terminate the Plan
subject to the provisions of ERISA and the Code. In the event of Plan
termination, assets will be distributed to participants in accordance with the
Plan Document.
Effective
October 1, 2008, the Plan was amended to include individuals who were former
participants in the MONY Life Retirement Plan for Field Underwriters
(“FURP”). The FURP account balances were liquidated and transferred
to the Plan. Each FURP participant’s 401(k) account balance was
increased by the amount in the participants FURP account immediately before the
merger. The total assets transferred into the Plan from FURP were
$151,713,960. Effective October 1, 2008, participants of FURP
continued to make contributions consistent with other participants in the
Plan.
The
Internal Revenue Service has determined and informed AXA Equitable by a letter,
dated April 11, 2008, that the Plan and related trust are designed in accordance
with applicable sections of the Code. The Plan Administrator and the
Plan's tax counsel believe that the Plan is designed and is currently being
operated in compliance with the applicable requirements of the
Code.
AXA
EQUITABLE 401(k) PLAN
NOTES TO FINANCIAL
STATEMENTS
|
11.
|
RECONCILIATION
OF FINANCIAL STATEMENTS TO FORM
5500
|
The
following is a reconciliation of net assets available for benefits per the
financial statements to Form 5500 at
December
31, 2008 and 2007, respectively:
|
|
|
|
|
|
|
|
|
2008
|
|
|
2007
|
|
Net
assets available for benefits per the financial statements
|
|
$
|
1,480,417,257
|
|
|
$
|
1,826,196,779
|
|
Difference
between contract value and fair value
|
|
|
|
|
|
|
|
|
of
Synthetic GICs
|
|
|
(12,539,840
|
)
|
|
|
5,459,810
|
|
Net
assets available for benefits per the Form 5500
|
|
$
|
1,467,877,417
|
|
|
$
|
1,831,656,589
|
|
The
following is a reconciliation of investment income per the financial statements
to Form 5500 for the year ended
December
31, 2008:
Investment
loss per the financial statements
|
|
$
|
(403,651,157
|
)
|
Add: Net
change in difference between contract value and
|
|
|
|
|
fair
value of Synthetic GICs during the year
|
|
|
(17,999,650
|
)
|
Investment
loss per the Form 5500
|
|
$
|
(421,650,807
|
)
|
12.
|
RISKS
AND UNCERTAINTIES
|
The Plan
invests in various investment securities. Investment securities are exposed to
various risks such as interest rate, market, and credit risks. Due to the level
of risk associated with certain investment securities, it is at least reasonably
possible that changes in the values of investment securities will occur in the
near term and that such changes could materially affect participants' account
balances and the amounts reported in the statement of net assets available for
benefits.
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Corporate bonds
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
ANZ
NATL INTL 6.2 7/19/13 144A
|
**
|
|
717,103
|
***
|
Fidelity
Management Trust Company
|
|
BHP
BILLITON 5.125% 3/29/12
|
**
|
|
467,296
|
***
|
Fidelity
Management Trust Company
|
|
BNK
OF TOKYO MIT GL8.4 4/15/10
|
**
|
|
1,303,432
|
***
|
Fidelity
Management Trust Company
|
|
BRITISH
G STEP 12/10 DT
|
**
|
|
1,791,444
|
***
|
Fidelity
Management Trust Company
|
|
COVIDIEN
INT 5.15% 10/15/10
|
**
|
|
1,310,459
|
***
|
Fidelity
Management Trust Company
|
|
DBS
BK LTD 5.125/VAR 5/17 144A
|
**
|
|
1,190,886
|
***
|
Fidelity
Management Trust Company
|
|
DEUTSCHE
TEL 5.375% 3/23/11
|
**
|
|
2,088,006
|
***
|
Fidelity
Management Trust Company
|
|
DIAGEO
CPTL GLB 5.2 1/30/13
|
**
|
|
694,023
|
***
|
Fidelity
Management Trust Company
|
|
EDP
FINANCE BV5.375 11/12 144A
|
**
|
|
1,151,217
|
***
|
Fidelity
Management Trust Company
|
|
ENEL
FIN INTL 5.7% 1/15/13144A
|
**
|
|
1,230,977
|
***
|
Fidelity
Management Trust Company
|
|
FUJI
FIN 8.625% 4/15/10 144A
|
**
|
|
1,467,063
|
***
|
Fidelity
Management Trust Company
|
|
HBOS
PLC 5.625% 7/20/09 144A
|
**
|
|
908,971
|
***
|
Fidelity
Management Trust Company
|
|
HUTCHISON
WH 5.45 11/24/10 144
|
**
|
|
633,301
|
***
|
Fidelity
Management Trust Company
|
|
KOREA
DEV BANK 3.875% 3/02/09
|
**
|
|
565,580
|
***
|
Fidelity
Management Trust Company
|
|
NATL
AUST BK 5.35% 6/12/13 144
|
**
|
|
724,975
|
***
|
Fidelity
Management Trust Company
|
|
ORIX
CORP 5.48% 11/22/11
|
**
|
|
117,368
|
***
|
Fidelity
Management Trust Company
|
|
PETRO
EXP 4.623% 6/15/10 144A
|
**
|
|
282,712
|
***
|
Fidelity
Management Trust Company
|
|
PETRO
EXP 4.633% 6/15/10 144A
|
**
|
|
169,315
|
***
|
Fidelity
Management Trust Company
|
|
RIO
TINTO FIN 5.875% 7/15/13
|
**
|
|
1,224,107
|
***
|
Fidelity
Management Trust Company
|
|
SANTANDER
5.805/VAR 6/20/16
|
**
|
|
628,463
|
***
|
Fidelity
Management Trust Company
|
|
TELECOM
ITALIA 4% 1/15/10
|
**
|
|
1,923,811
|
***
|
Fidelity
Management Trust Company
|
|
TELEFONICA
EMIS 5.984% 6/20/11
|
**
|
|
1,976,199
|
***
|
Fidelity
Management Trust Company
|
|
TELEFONOS
MEXICO 4.75% 1/27/10
|
**
|
|
1,029,118
|
***
|
Fidelity
Management Trust Company
|
|
TRANSCAPIT
5.67% 3/5/14 144A
|
**
|
|
819,069
|
***
|
Fidelity
Management Trust Company
|
|
VODAFONE
GRP 7.75% 2/15/10 DT
|
**
|
|
1,534,887
|
***
|
Fidelity
Management Trust Company
|
|
VODAFONE
GRP PLC 5.5% 6/15/11
|
**
|
|
394,643
|
***
|
Fidelity
Management Trust Company
|
|
AMERICAN
CAP ST 6.85% 8/01/12
|
**
|
|
738,968
|
***
|
Fidelity
Management Trust Company
|
|
AVON
PRODUCTS 4.8% 3/01/13
|
**
|
|
543,548
|
***
|
Fidelity
Management Trust Company
|
|
BALTIMORE
G&E 6.125% 7/01/13
|
**
|
|
487,933
|
***
|
Fidelity
Management Trust Company
|
|
BANK
AMER 4.9% 5/01/13
|
**
|
|
424,435
|
***
|
Fidelity
Management Trust Company
|
|
BANK
NY MELLO GLB 4.95 11/12
|
**
|
|
1,078,787
|
***
|
Fidelity
Management Trust Company
|
|
BANK
OF NEW YORK 4.95 1/14/11
|
**
|
|
181,497
|
***
|
Fidelity
Management Trust Company
|
|
BANK
ONE CORP 7.875% 8/01/10
|
**
|
|
805,317
|
***
|
Fidelity
Management Trust Company
|
|
BANKAMER
7.8% 2/15/10 GLBL
|
**
|
|
1,164,677
|
***
|
Fidelity
Management Trust Company
|
|
BEAR
STEARNS 3.25% 3/25/09
|
**
|
|
814,003
|
***
|
Fidelity
Management Trust Company
|
|
BEAR
STEARNS 5.85% 7/19/10
|
**
|
|
196,935
|
***
|
Fidelity
Management Trust Company
|
|
BELLSOUTH
GLBL 4.2% 9/15/09 DT
|
**
|
|
132,118
|
***
|
Fidelity
Management Trust Company
|
|
BTM
CURACAO 4.76% 7/21/15 144A
|
**
|
|
481,014
|
***
|
Fidelity
Management Trust Company
|
|
CITIGROUP
5.125% 2/14/11
|
**
|
|
577,387
|
***
|
Fidelity
Management Trust Company
|
|
COMCAST
CABLE 6.75% 1/30/11
|
**
|
|
1,651,383
|
***
|
Fidelity
Management Trust Company
|
|
CON
EDISON 7.5% 9/01/10
|
**
|
|
862,926
|
***
|
Fidelity
Management Trust Company
|
|
CON
EDISON 7.5% 9/01/10 B
|
**
|
|
680,693
|
***
|
Fidelity
Management Trust Company
|
|
COUNTRYWIDE
MTN 4.125% 9/15/09
|
**
|
|
135,058
|
***
|
Fidelity
Management Trust Company
|
|
CREDIT
SUISSE NY 5% 5/15/13
|
**
|
|
2,103,308
|
***
|
Fidelity
Management Trust Company
|
|
DAIMLERC
NA MTN 5.75% 9/08/11
|
**
|
|
2,156,469
|
***
|
Fidelity
Management Trust Company
|
|
DONNELLEY
RR 3.75% 4/1/09
|
**
|
|
415,985
|
***
|
Fidelity
Management Trust Company
|
|
DTE
ENERGY CO 7.05% 6/01/11
|
**
|
|
781,102
|
***
|
Fidelity
Management Trust Company
|
|
DUKE
ENERGY CORP 5.65% 6/13
|
**
|
|
1,475,105
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Corporate bonds (continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
DUPONT
5% 1/15/13
|
**
|
|
319,952
|
***
|
Fidelity
Management Trust Company
|
|
DUPONT
EI NEMOUR 5% 7/15/13
|
**
|
|
749,905
|
***
|
Fidelity
Management Trust Company
|
|
ERP
OPERAT LP 5.5% 10/1/12
|
**
|
|
281,593
|
***
|
Fidelity
Management Trust Company
|
|
EXELON
GEN GLBL 6.95% 6/15/11
|
**
|
|
1,421,730
|
***
|
Fidelity
Management Trust Company
|
|
FLEETBOSTON
FIN 7.375% 12/1/09
|
**
|
|
974,349
|
***
|
Fidelity
Management Trust Company
|
|
GE
CAP 5.2% 2/01/11
|
**
|
|
1,965,502
|
***
|
Fidelity
Management Trust Company
|
|
GEN
ELEC CAP GLB 4.25 9/13/10
|
**
|
|
635,176
|
***
|
Fidelity
Management Trust Company
|
|
GLAXOSMTH
KLINE 4.85% 5/15/13
|
**
|
|
889,153
|
***
|
Fidelity
Management Trust Company
|
|
HOUSEHOLD
MTN 4.125% 11/16/09
|
**
|
|
976,032
|
***
|
Fidelity
Management Trust Company
|
|
JACKSON
NATL 5.375% 5/8/13 144
|
**
|
|
455,815
|
***
|
Fidelity
Management Trust Company
|
|
JP
MORGAN CS GLB6.75 2/1/11 DT
|
**
|
|
2,543,715
|
***
|
Fidelity
Management Trust Company
|
|
JPMORGAN
CHAS 4.891/VAR 9/15
|
**
|
|
352,277
|
***
|
Fidelity
Management Trust Company
|
|
JPMORGAN
CHASE 4.75% 5/1/13
|
**
|
|
1,463,183
|
***
|
Fidelity
Management Trust Company
|
|
KEYSPAN
CORP 7.625% 11/15/10
|
**
|
|
378,332
|
***
|
Fidelity
Management Trust Company
|
|
KINDER
MORGAN EN 6.3 2/1/09
|
**
|
|
630,551
|
***
|
Fidelity
Management Trust Company
|
|
KRAFT
FOODS 4.125% 11/12/09
|
**
|
|
125,893
|
***
|
Fidelity
Management Trust Company
|
|
KRAFT
FOODS INC 5.625% 8/11/10
|
**
|
|
1,298,319
|
***
|
Fidelity
Management Trust Company
|
|
MANUFTRS
& TRD 3.85/VAR 4/1/13
|
**
|
|
801,456
|
***
|
Fidelity
Management Trust Company
|
|
MBNA
CAPITAL 8.278% 12/01/26
|
**
|
|
539,753
|
***
|
Fidelity
Management Trust Company
|
|
MERRILL
LYN CO 5.45% 2/05/13
|
**
|
|
164,219
|
***
|
Fidelity
Management Trust Company
|
|
MERRILL
LYN CO 6.15% 4/25/13
|
**
|
|
400,866
|
***
|
Fidelity
Management Trust Company
|
|
MERRILL
LYN MTN 4.125% 1/15/09
|
**
|
|
188,439
|
***
|
Fidelity
Management Trust Company
|
|
MERRILL
LYN MTN 4.125% 9/10/09
|
**
|
|
341,377
|
***
|
Fidelity
Management Trust Company
|
|
MET
LIFE GBL 3ML+75 6/25/10144
|
**
|
|
988,603
|
***
|
Fidelity
Management Trust Company
|
|
MIDAMERICAN
ENRG 5.65% 7/15/12
|
**
|
|
1,217,835
|
***
|
Fidelity
Management Trust Company
|
|
MONUMENTAL
GLBL 5.5% 4/13 144A
|
**
|
|
216,547
|
***
|
Fidelity
Management Trust Company
|
|
MSTDW
GLBL 6.75% 4/15/11
|
**
|
|
414,243
|
***
|
Fidelity
Management Trust Company
|
|
NELNET
INC 5.125 6/1/10
|
**
|
|
159,266
|
***
|
Fidelity
Management Trust Company
|
|
NORTHERN
TRUST CO 5.5% 8/15/13
|
**
|
|
199,092
|
***
|
Fidelity
Management Trust Company
|
|
NSTAR
8% 2/15/10
|
**
|
|
349,005
|
***
|
Fidelity
Management Trust Company
|
|
NYLIFE
GLB4.65% 5/9/13 144A
|
**
|
|
1,031,405
|
***
|
Fidelity
Management Trust Company
|
|
ONCOR
ELEC DLV 6.375% 5/01/12
|
**
|
|
972,400
|
***
|
Fidelity
Management Trust Company
|
|
PACIFIC
GAS & ELEC 6.25% 12/13
|
**
|
|
635,343
|
***
|
Fidelity
Management Trust Company
|
|
PECO
ENERGY MTN 5.6% 10/15/13
|
**
|
|
698,145
|
***
|
Fidelity
Management Trust Company
|
|
PHILIP
MOR 4.875% 5/16/13
|
**
|
|
361,206
|
***
|
Fidelity
Management Trust Company
|
|
PNC
FUNDING CORP 4.5 3/10/10
|
**
|
|
1,413,562
|
***
|
Fidelity
Management Trust Company
|
|
PPL
ENERGY SUPP 6.3% 7/15/13
|
**
|
|
1,240,056
|
***
|
Fidelity
Management Trust Company
|
|
PSEG
POWER 3.75 4/1/09
|
**
|
|
729,999
|
***
|
Fidelity
Management Trust Company
|
|
ROCKIES
EXP 6.25% 7/15/13 144A
|
**
|
|
971,776
|
***
|
Fidelity
Management Trust Company
|
|
SBC
COMM GLBL 4.125 9/15/09
|
**
|
|
4,395,250
|
***
|
Fidelity
Management Trust Company
|
|
SBC
COMM GLBL 5.3 11/15/10
|
**
|
|
296,742
|
***
|
Fidelity
Management Trust Company
|
|
SEMPRA
ENERGY 4.75 5/15/09
|
**
|
|
293,126
|
***
|
Fidelity
Management Trust Company
|
|
SEMPRA
ENERGY 7.95% 3/01/10
|
**
|
|
549,662
|
***
|
Fidelity
Management Trust Company
|
|
SIERRA
PACIFIC 5.45% 9/01/13
|
**
|
|
1,091,469
|
***
|
Fidelity
Management Trust Company
|
|
SIMON
PROPERTY 5.3% 5/30/13
|
**
|
|
398,643
|
***
|
Fidelity
Management Trust Company
|
|
TIME
WARNER CAB 6.2% 7/01/13
|
**
|
|
1,468,443
|
***
|
Fidelity
Management Trust Company
|
|
UNCREDIT
LUX 5.584/VAR 1/13/17
|
**
|
|
748,876
|
***
|
Fidelity
Management Trust Company
|
|
UNITED
HLTH 5.125% 11/15/10
|
**
|
|
1,806,195
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Corporate bonds (continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
UNITEDHEALTH
GRP 3.75 2/10/09
|
**
|
|
999,679
|
***
|
Fidelity
Management Trust Company
|
|
US
BANCORP 4.5 7/29/10
|
**
|
|
584,002
|
***
|
Fidelity
Management Trust Company
|
|
VERIZON
COM INC 5.25% 4/15/13
|
**
|
|
801,778
|
***
|
Fidelity
Management Trust Company
|
|
VERIZON
GLBL 7.25% 12/1/10
|
**
|
|
1,291,643
|
***
|
Fidelity
Management Trust Company
|
|
VERIZON
NE GLB 6.5% 9/15/11 DT
|
**
|
|
698,153
|
***
|
Fidelity
Management Trust Company
|
|
VERIZON
NEW YOR 6.875% 4/01/12
|
**
|
|
182,185
|
***
|
Fidelity
Management Trust Company
|
|
WACHOVIA
CAP 7.965 6/1/27 144A
|
**
|
|
141,796
|
***
|
Fidelity
Management Trust Company
|
|
WELLS
FARGO 3.98 10/29/10
|
**
|
|
634,292
|
***
|
Fidelity
Management Trust Company
|
|
WELLS
FARGO 4.2% 1/15/10
|
**
|
|
2,075,615
|
***
|
Fidelity
Management Trust Company
|
|
WELLS
GLBL 6.45% 2/01/11
|
**
|
|
531,709
|
***
|
Fidelity
Management Trust Company
|
|
XEROX
CORP 5.5% 5/15/12
|
**
|
|
845,078
|
***
|
Fidelity
Management Trust Company
|
|
BEAR
STEARNS CO INC 5.35% 2/12
|
**
|
|
356,216
|
***
|
Fidelity
Management Trust Company
|
|
US
BANCORP MTN 5.3% 4/28/09
|
**
|
|
501,134
|
|
|
|
|
|
|
|
|
Total
corporate bonds
|
|
|
**
|
|
94,420,829
|
|
|
|
|
|
|
|
|
Mortgage backed securities
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
ABCMT
07-A2 A2 5% 3/13
|
**
|
|
2,522,896
|
***
|
Fidelity
Management Trust Company
|
|
ABCMT
07-B2 B 5.5% 6/20/13
|
**
|
|
659,710
|
***
|
Fidelity
Management Trust Company
|
|
ACE
05-SD1 A1 1ML+40 11/50
|
**
|
|
20,893
|
***
|
Fidelity
Management Trust Company
|
|
AMCAR
05-AX A4 3.93% 10/11
|
**
|
|
951,936
|
***
|
Fidelity
Management Trust Company
|
|
AMCAR
05-CF A4 4.63 6/12
|
**
|
|
927,892
|
***
|
Fidelity
Management Trust Company
|
|
AMCAR
06-1 B 5.2 3/11
|
**
|
|
83,491
|
***
|
Fidelity
Management Trust Company
|
|
AMCAR
06-1 C 5.28 11/11
|
**
|
|
465,354
|
***
|
Fidelity
Management Trust Company
|
|
AMCAR
06-BG A4 5.21% 9/13
|
**
|
|
629,222
|
***
|
Fidelity
Management Trust Company
|
|
APART
07-1 C 5.43 7/11
|
**
|
|
122,170
|
***
|
Fidelity
Management Trust Company
|
|
APART
07-1 D 5.62 9/14
|
**
|
|
748,754
|
***
|
Fidelity
Management Trust Company
|
|
APART
07-2M A3A 5.22% 4/10
|
**
|
|
481,933
|
***
|
Fidelity
Management Trust Company
|
|
BRHEA
06-A A2R 5.03% 12/41
|
**
|
|
2,681,389
|
***
|
Fidelity
Management Trust Company
|
|
CARAT
06-1 B 5.26 10/10
|
**
|
|
254,067
|
***
|
Fidelity
Management Trust Company
|
|
CARAT
07-1 B 5.15% 9/12
|
**
|
|
369,768
|
***
|
Fidelity
Management Trust Company
|
|
CARAT
07-SN1 B 5.52% 3/15/11
|
**
|
|
163,113
|
***
|
Fidelity
Management Trust Company
|
|
CARAT
07-SN1 C 5.73% 3/15/11
|
**
|
|
101,869
|
***
|
Fidelity
Management Trust Company
|
|
CARAT
07-SN1 D 6.05% 1/17/12
|
**
|
|
216,847
|
***
|
Fidelity
Management Trust Company
|
|
CARAT
2006-SN1A A4A 5.32% 3/10
|
**
|
|
815,804
|
***
|
Fidelity
Management Trust Company
|
|
CCCIT
06-B2 B2 5.15% 3/11
|
**
|
|
3,364,433
|
***
|
Fidelity
Management Trust Company
|
|
CCCIT
07-B2 B2 5% 4/12
|
**
|
|
2,840,843
|
***
|
Fidelity
Management Trust Company
|
|
CCCIT
07-B6 B6 5% 11/12
|
**
|
|
1,152,070
|
***
|
Fidelity
Management Trust Company
|
|
CDTIM
05-1A A1 4.67 5/17
|
**
|
|
122,707
|
***
|
Fidelity
Management Trust Company
|
|
CFAT
2006-A A4 5.62% 8/11
|
**
|
|
2,031,850
|
***
|
Fidelity
Management Trust Company
|
|
CITEC
06-VT1 A3 5.13 12/09
|
**
|
|
52,036
|
***
|
Fidelity
Management Trust Company
|
|
CITEC
06-VT2 A4 5.05% 4/20/14
|
**
|
|
1,241,719
|
***
|
Fidelity
Management Trust Company
|
|
CNH
05-A A4B 4.29% 6/12
|
**
|
|
308,906
|
***
|
Fidelity
Management Trust Company
|
|
CNH
05-B B 4.57 7/12
|
**
|
|
409,365
|
***
|
Fidelity
Management Trust Company
|
|
CNH
06-B B 5.36% 6/13
|
**
|
|
417,021
|
***
|
Fidelity
Management Trust Company
|
|
COAFT
05-BSS C 4.48 12/10
|
**
|
|
668,244
|
***
|
Fidelity
Management Trust Company
|
|
COAFT
05-C A4A 4.71 6/12
|
**
|
|
350,278
|
***
|
Fidelity
Management Trust Company
|
|
COMET
03-B5 B5 4.79 8/13
|
**
|
|
2,705,261
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Mortgage backed securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
COMET
07-B3 B3 5.05% 3/13
|
**
|
|
2,622,380
|
***
|
Fidelity
Management Trust Company
|
|
COMET
07-B5 B5 5.4% 5/13
|
**
|
|
1,184,589
|
***
|
Fidelity
Management Trust Company
|
|
COPAR
05-1 B 4.58 8/15/12
|
**
|
|
922,603
|
***
|
Fidelity
Management Trust Company
|
|
COPAR
06-2 A4 4.94% 7/12
|
**
|
|
536,613
|
***
|
Fidelity
Management Trust Company
|
|
COPAR
2007-1 B1 5.76% 12/13
|
**
|
|
414,256
|
***
|
Fidelity
Management Trust Company
|
|
CPS
06-C A3 5.14% 1/11
|
**
|
|
169,132
|
***
|
Fidelity
Management Trust Company
|
|
CPS
06-D A3 5.157% 05/11
|
**
|
|
869,940
|
***
|
Fidelity
Management Trust Company
|
|
CPS
06-D A4 5.115% 08/13
|
**
|
|
1,042,866
|
***
|
Fidelity
Management Trust Company
|
|
CPS
07-B A3 5.47% 11/11
|
**
|
|
452,599
|
***
|
Fidelity
Management Trust Company
|
|
CPS
2006-B A3 5.73% 6/16
|
**
|
|
68,332
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
05-FIX1 A2 4.31% 5/35
|
**
|
|
147,497
|
***
|
Fidelity
Management Trust Company
|
|
DCAT
06-A B 5.14 9/12
|
**
|
|
1,513,683
|
***
|
Fidelity
Management Trust Company
|
|
DCAT
2006-C B 5.11% 4/13
|
**
|
|
770,954
|
***
|
Fidelity
Management Trust Company
|
|
DELHE
99-2 A7F 7.03 8/30
|
**
|
|
204,340
|
***
|
Fidelity
Management Trust Company
|
|
DRT
00-1A A2 6.971% 3/10
|
**
|
|
51,895
|
***
|
Fidelity
Management Trust Company
|
|
DRVT
2006-A A3 5.501% 11/11
|
**
|
|
405,404
|
***
|
Fidelity
Management Trust Company
|
|
FHLT
05-A M1 1ML+43 1/35
|
**
|
|
29,136
|
***
|
Fidelity
Management Trust Company
|
|
FIAOT
06A A3 4.93 2/15/11
|
**
|
|
108,621
|
***
|
Fidelity
Management Trust Company
|
|
FORDO
07-A B 5.6% 10/12
|
**
|
|
158,060
|
***
|
Fidelity
Management Trust Company
|
|
FORDO
07-A C 5.8% 2/13
|
**
|
|
227,885
|
***
|
Fidelity
Management Trust Company
|
|
FORDO
2006-B B 5.43% 2/12
|
**
|
|
625,148
|
***
|
Fidelity
Management Trust Company
|
|
FORDO
2006-C B 5.3% 6/12
|
**
|
|
279,838
|
***
|
Fidelity
Management Trust Company
|
|
FRNK
06-1 B1 5.14% 7/14
|
**
|
|
126,805
|
***
|
Fidelity
Management Trust Company
|
|
FRNK
07-1 A4 5.03 2/15
|
**
|
|
666,933
|
***
|
Fidelity
Management Trust Company
|
|
FRNK
07-1 B 5.13 2/15
|
**
|
|
406,499
|
***
|
Fidelity
Management Trust Company
|
|
GCOSL
06-1A NOTE 5.72 3/22
|
**
|
|
495,675
|
***
|
Fidelity
Management Trust Company
|
|
GEMNT
07-1 B 4.95% 3/13
|
**
|
|
1,032,234
|
***
|
Fidelity
Management Trust Company
|
|
GEMNT
2007-3 B 5.49% 6/13
|
**
|
|
1,088,782
|
***
|
Fidelity
Management Trust Company
|
|
GSALT
05-1 B 4.62 11/13
|
**
|
|
21,132
|
***
|
Fidelity
Management Trust Company
|
|
GSALT
07-1 A3 5.39% 12/11
|
**
|
|
1,304,889
|
***
|
Fidelity
Management Trust Company
|
|
GSALT
07-1 B 5.53% 12/14
|
**
|
|
153,903
|
***
|
Fidelity
Management Trust Company
|
|
HART
05-A B 4.2 2/12
|
**
|
|
259,562
|
***
|
Fidelity
Management Trust Company
|
|
HART
05-A C 4.22 2/12
|
**
|
|
20,635
|
***
|
Fidelity
Management Trust Company
|
|
HART
06-1 B 5.29 11/12
|
**
|
|
49,738
|
***
|
Fidelity
Management Trust Company
|
|
HART
06-1 C 5.34 11/12
|
**
|
|
63,732
|
***
|
Fidelity
Management Trust Company
|
|
HART
2007-A A3A 5.04 1/12
|
**
|
|
930,737
|
***
|
Fidelity
Management
Trust Company
|
|
HAT
07-1 A4 5.33% 11/18/13
|
**
|
|
915,762
|
***
|
Fidelity
Management Trust Company
|
|
HAT
2006-2 A4 5.67% 6/13
|
**
|
|
893,925
|
***
|
Fidelity
Management Trust Company
|
|
HCARD
07-1 B 5.53% 6/12
|
**
|
|
864,098
|
***
|
Fidelity
Management Trust Company
|
|
JPMART
2006-A B 5.36% 12/14
|
**
|
|
120,735
|
***
|
Fidelity
Management Trust Company
|
|
JPMRT
2006-A A4 5.14% 12/14
|
**
|
|
898,928
|
***
|
Fidelity
Management Trust Company
|
|
MVCOT
05-2 A 4.6% 10/27
|
**
|
|
268,901
|
***
|
Fidelity
Management Trust Company
|
|
MVCOT
06-2A A 5.417% 10/28
|
**
|
|
203,089
|
***
|
Fidelity
Management Trust Company
|
|
MVCOT
06-2A B 5.467% 10/28
|
**
|
|
38,029
|
***
|
Fidelity
Management Trust Company
|
|
MVCOT
06-2A C 5.766% 10/28
|
**
|
|
15,829
|
***
|
Fidelity
Management Trust Company
|
|
NALT
2006-A A4 5.1% 7/12
|
**
|
|
2,099,279
|
***
|
Fidelity
Management Trust Company
|
|
NAROT
05-A A4 3.82 7/10
|
**
|
|
182,812
|
***
|
Fidelity
Management Trust Company
|
|
NAVOT
05-A A4 4.43 1/14
|
**
|
|
615,393
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Mortgage backed securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
NCSLT
05-1 AIO 6.75% 12/09
|
**
|
|
35,338
|
***
|
Fidelity
Management Trust Company
|
|
NCSLT
06-1 A-IO 5.5 4/11
|
**
|
|
151,375
|
***
|
Fidelity
Management Trust Company
|
|
NCSLT
06-4 AIO 6.35% 02/12
|
**
|
|
350,867
|
***
|
Fidelity
Management Trust Company
|
|
NCSLT
2006-2 AIO 6% 8/11
|
**
|
|
34,340
|
***
|
Fidelity
Management Trust Company
|
|
NCSLT
2006-3 AIO 7.1% 1/12
|
**
|
|
489,082
|
***
|
Fidelity
Management Trust Company
|
|
NCSLT
2007-1 AIO 7.27% 4/12
|
**
|
|
470,109
|
***
|
Fidelity
Management Trust Company
|
|
NCSLT
2007-2 AIO 6.7% 7/12
|
**
|
|
356,686
|
***
|
Fidelity
Management Trust Company
|
|
NEF
05-1 A5 4.74 10/45
|
**
|
|
652,990
|
***
|
Fidelity
Management Trust Company
|
|
NORD
07-1A A 4.92 5/13 144A
|
**
|
|
2,096,379
|
***
|
Fidelity
Management Trust Company
|
|
ONYX
05-B A4 4.34% 5/12
|
**
|
|
424,866
|
***
|
Fidelity
Management Trust Company
|
|
PCAT
2006-A C 5.77% 5/10
|
**
|
|
6,841
|
***
|
Fidelity
Management Trust Company
|
|
PMNT
06-B1A B1 5.35 3/13
|
**
|
|
1,204,406
|
***
|
Fidelity
Management Trust Company
|
|
SBAC
05-1A A 5.369 11/35
|
**
|
|
325,027
|
***
|
Fidelity
Management Trust Company
|
|
SBAC
05-1A B 5.565 11/35
|
**
|
|
202,336
|
***
|
Fidelity
Management Trust Company
|
|
SRFC
2006-1A A1 5.84% 5/18
|
**
|
|
307,241
|
***
|
Fidelity
Management Trust Company
|
|
SVOVM
05-A A 5.25 2/21
|
**
|
|
288,685
|
***
|
Fidelity
Management Trust Company
|
|
TAROT
06-A A3 4.77% 1/11
|
**
|
|
105,479
|
***
|
Fidelity
Management Trust Company
|
|
TAROT
2006-B A3 5.41% 8/11
|
**
|
|
153,913
|
***
|
Fidelity
Management Trust Company
|
|
TAROT
2006-B A4 5.52% 11/12
|
**
|
|
390,728
|
***
|
Fidelity
Management Trust Company
|
|
TAROT
2006-C A4 5.31% 5/13
|
**
|
|
427,455
|
***
|
Fidelity
Management Trust Company
|
|
VWALT
2006-A A3 5.5% 9/09
|
**
|
|
114,124
|
***
|
Fidelity
Management Trust Company
|
|
WALOT
06-1 A-3 5.1 7/11
|
**
|
|
336,487
|
***
|
Fidelity
Management Trust Company
|
|
WALOT
06-1B 5.15% 7/12
|
**
|
|
460,292
|
***
|
Fidelity
Management Trust Company
|
|
WALOT
06-2 B 5.29% 6/12
|
**
|
|
816,748
|
***
|
Fidelity
Management Trust Company
|
|
WALOT
06-2 C 5.34% 10/12
|
**
|
|
261,085
|
***
|
Fidelity
Management Trust Company
|
|
WALOT
07-1 B 5.38% 7/20/12
|
**
|
|
991,922
|
***
|
Fidelity
Management Trust Company
|
|
WALOT
07-1 C 5.45% 10/22/12
|
**
|
|
474,634
|
***
|
Fidelity
Management Trust Company
|
|
WALOT
07-1 D 5.65% 2/20/13
|
**
|
|
595,547
|
***
|
Fidelity
Management Trust Company
|
|
WESTO
05-3 A4 4.39 5/13
|
**
|
|
625,407
|
***
|
Fidelity
Management Trust Company
|
|
WESTO
05-3 B 4.50 5/13
|
**
|
|
360,152
|
***
|
Fidelity
Management Trust Company
|
|
WESTO
05-3 C 4.54 5/13
|
**
|
|
441,562
|
***
|
Fidelity
Management Trust Company
|
|
WMMNT
2007-A4A A4 5.2% 10/14
|
**
|
|
540,618
|
***
|
Fidelity
Management Trust Company
|
|
WMMNT
2007-B1 B1 4.95% 3/14
|
**
|
|
1,726,299
|
***
|
Fidelity
Management Trust Company
|
|
BACM
04-1 A2 4.037 11/39
|
**
|
|
131,954
|
***
|
Fidelity
Management Trust Company
|
|
BACM
04-4 A3 4.128% 7/42
|
**
|
|
315,098
|
***
|
Fidelity
Management Trust Company
|
|
BACM
04-6 A2 4.161% 12/42
|
**
|
|
392,541
|
***
|
Fidelity
Management Trust Company
|
|
BACM
05-3 A2 CSTR 7/43
|
**
|
|
1,566,626
|
***
|
Fidelity
Management Trust Company
|
|
BACM
05-3 XP CSTR 7/43
|
**
|
|
156,514
|
***
|
Fidelity
Management Trust Company
|
|
BACM
05-4 A1 4.432 7/45
|
**
|
|
315,900
|
***
|
Fidelity
Management Trust Company
|
|
BACM
05-4 XP CSTR 7/45
|
**
|
|
47,878
|
***
|
Fidelity
Management Trust Company
|
|
BACM
05-5 A1 4.716 8/10
|
**
|
|
706,767
|
***
|
Fidelity
Management Trust Company
|
|
BACM
05-5 XP CSTR 10/45
|
**
|
|
57,403
|
***
|
Fidelity
Management Trust Company
|
|
BACM
05-6 A1 5.001 9/47
|
**
|
|
425,880
|
***
|
Fidelity
Management Trust Company
|
|
BACM
06-5 A1 5.185% 7/11
|
**
|
|
282,527
|
***
|
Fidelity
Management Trust Company
|
|
BACM
06-6 XP CSTR 10/45
|
**
|
|
236,529
|
***
|
Fidelity
Management Trust Company
|
|
BACM
2003-2 A2 4.342 3/41
|
**
|
|
817,155
|
***
|
Fidelity
Management Trust Company
|
|
BACM
2006-4 A1 CSTR 5/11
|
**
|
|
171,383
|
***
|
Fidelity
Management Trust Company
|
|
BACM
2006-4 XP CSTR 7/46
|
**
|
|
397,868
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Mortgage backed securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
BACM
2006-5 XP .832% 9/47
|
**
|
|
206,061
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
04-ESA A3 4.741% 5/16
|
**
|
|
1,323,247
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
05-PWR9 A1 4.498 9/42
|
**
|
|
297,380
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
05-PWR9 X2 CSTR 9/42
|
**
|
|
266,672
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
06-PW13 X2 CSTR 9/41
|
**
|
|
137,480
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
07-PW15 A1 5.016% 2/44
|
**
|
|
52,894
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
07-T26 X2 CSTR 1/12/45
|
**
|
|
154,281
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
07-T28 X2 CSTR 9/42
|
**
|
|
668,418
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
2007-PW15 X2 CSTR 2/44
|
**
|
|
386,994
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
2007-T28 A1 5.422% 9/42
|
**
|
|
301,798
|
***
|
Fidelity
Management Trust Company
|
|
CD
06-CD3 XP CSTR 10/48
|
**
|
|
474,249
|
***
|
Fidelity
Management Trust Company
|
|
COMM
01-J2A A1 5.447 7/34
|
**
|
|
1,440,548
|
***
|
Fidelity
Management Trust Company
|
|
COMM
05-C6 A2 CSTR 6/44
|
**
|
|
871,171
|
***
|
Fidelity
Management Trust Company
|
|
COMM
05-C6 XP CSTR 6/44
|
**
|
|
76,727
|
***
|
Fidelity
Management Trust Company
|
|
COMM
05-LP5 XP CSTR 5/43
|
**
|
|
59,596
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-CN2A A2FX 5.449 2/19
|
**
|
|
726,208
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
00-C1 A2 7.545 4/62
|
**
|
|
1,536,118
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
04-C5 A2 4.183 11/37
|
**
|
|
328,982
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
05-C2 ASP CSTR 4/37
|
**
|
|
106,359
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
05-C4 ASP CSTR 8/38
|
**
|
|
199,335
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
2002-CP5 A1 4.106 12/35
|
**
|
|
441,812
|
***
|
Fidelity
Management Trust Company
|
|
CSMC
06-C4 ASP CSTR 9/39
|
**
|
|
939,984
|
***
|
Fidelity
Management Trust Company
|
|
CSMC
06-C5 ASP CSTR 12/39
|
**
|
|
531,273
|
***
|
Fidelity
Management Trust Company
|
|
CSMC
07-C2 A1 5.237 1/49
|
**
|
|
202,969
|
***
|
Fidelity
Management Trust Company
|
|
CSMC
07-C3 A1 CSTR 6/39
|
**
|
|
234,286
|
***
|
Fidelity
Management Trust Company
|
|
GCCFC
02-C1 XP CSTR 1/35
|
**
|
|
497,760
|
***
|
Fidelity
Management Trust Company
|
|
GCCFC
03-C2 A3 4.533 1/36
|
**
|
|
890,994
|
***
|
Fidelity
Management Trust Company
|
|
GCCFC
05-GG3 XP CSTR 8/42
|
**
|
|
396,445
|
***
|
Fidelity
Management Trust Company
|
|
GCCFC
05-GG5 CSTR 4/37
|
**
|
|
321,261
|
***
|
Fidelity
Management Trust Company
|
|
GCCFC
07-GG9 A1 5.233% 03/39
|
**
|
|
348,149
|
***
|
Fidelity
Management Trust Company
|
|
GCCFC
2006-GG7 A1 5.7435% 7/38
|
**
|
|
406,137
|
***
|
Fidelity
Management Trust Company
|
|
GECMC
05-C3 A1 4.591 7/45
|
**
|
|
1,149,365
|
***
|
Fidelity
Management Trust Company
|
|
GECMC
07-C1 XP CSTR 12/49
|
**
|
|
200,804
|
***
|
Fidelity
Management Trust Company
|
|
GMACC
05-C1 X2 CSTR 5/43
|
**
|
|
97,791
|
***
|
Fidelity
Management Trust Company
|
|
GMACC
06-C1 XP CSTR 11/45
|
**
|
|
58,788
|
***
|
Fidelity
Management Trust Company
|
|
GSMS
05-GG4 XP CSTR 7/39
|
**
|
|
356,114
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
03-CB7 X2 CSTR 1/38
|
**
|
|
23,526
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
07-CB18 A1 CSTR 6/47
|
**
|
|
279,140
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
2001-C1 A2 5.464 10/35
|
**
|
|
312,653
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
2001-CIB2 A2 6.244 4/35
|
**
|
|
484,161
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
04-C7 A2 3.992 10/29
|
**
|
|
292,266
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
04-C8 A2 4.201 12/29
|
**
|
|
321,164
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
04-C8 XCP CSTR 12/39
|
**
|
|
47,328
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
05-C5 XCP CSTR 9/40
|
**
|
|
462,852
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
05-C7 XCP CSTR 11/40
|
**
|
|
207,486
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
07-C1 A1 CSTR 2/15/40
|
**
|
|
202,534
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
07-C1 XCP CSTR 2/40 IO
|
**
|
|
91,413
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
07-C2 A1 5.226 2/40
|
**
|
|
182,732
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Mortgage backed securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
07-C2 XCP CSTR 2/40
|
**
|
|
415,538
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
2006-C3 A1 5.478 3/39
|
**
|
|
265,286
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
2006-C6 A1 5.23 9/39
|
**
|
|
322,662
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
2006-C7 A1 5.279 11/38
|
**
|
|
144,215
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
206-C1A XCP CSTR 2/41
|
**
|
|
316,522
|
***
|
Fidelity
Management Trust Company
|
|
LLL
1997-LLI D 7.15 10/34
|
**
|
|
422,577
|
***
|
Fidelity
Management Trust Company
|
|
MLCFC
07-8 A1 4.622% 8/49
|
**
|
|
300,093
|
***
|
Fidelity
Management Trust Company
|
|
MLCFC
2006-4 XP CSTR 12/49
|
**
|
|
1,261,578
|
***
|
Fidelity
Management Trust Company
|
|
MLMT
05-MCP1 XP CSTR 6/43
|
**
|
|
120,993
|
***
|
Fidelity
Management Trust Company
|
|
MLMT
05-MKB2 XP CSTR 9/42
|
**
|
|
22,885
|
***
|
Fidelity
Management Trust Company
|
|
MSC
05-HQ5 X2 CSTR 1/42
|
**
|
|
50,014
|
***
|
Fidelity
Management Trust Company
|
|
MSC
05-IQ9 X2 CSTR 7/56
|
**
|
|
179,145
|
***
|
Fidelity
Management Trust Company
|
|
MSC
05-TOP17 X2 CSTR 12/41
|
**
|
|
91,262
|
***
|
Fidelity
Management Trust Company
|
|
MSC
07-IQ13 A1 5.05% 3/44
|
**
|
|
339,311
|
***
|
Fidelity
Management Trust Company
|
|
MSC
2006-HQ8 A1 5.124 3/44
|
**
|
|
107,617
|
***
|
Fidelity
Management Trust Company
|
|
MSC
2006-HQ9 A1 5.49% 7/44
|
**
|
|
851,674
|
***
|
Fidelity
Management Trust Company
|
|
MSC
2006-T23 A1 5.682% 8/41
|
**
|
|
256,312
|
***
|
Fidelity
Management Trust Company
|
|
MSC
2007-HQ11 A1 CSTR 2/44
|
**
|
|
344,603
|
***
|
Fidelity
Management Trust Company
|
|
NASC
98-D6 A1B 6.59 3/30
|
**
|
|
77,985
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
03-C7 A1 4.241 10/35
|
**
|
|
817,671
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
04-C11 A3 4.719 1/41
|
**
|
|
366,714
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
05-C16 APB 4.692% 10/41
|
**
|
|
486,373
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
05-C18 XP CSTR 4/42
|
**
|
|
99,324
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
05-C22 A1 4.98 12/44
|
**
|
|
417,195
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
07-C30 A1 5.031% 12/43
|
**
|
|
323,476
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
2004-C15 A2 4.039 10/41
|
**
|
|
1,568,834
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
2006-C27 A1 5.405% 7/45
|
**
|
|
544,498
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
2006-C27 XP CSTR 7/45
|
**
|
|
276,463
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
2007-C30 XP CSTR 12/43
|
**
|
|
393,011
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
03-T12 X2 CSTR 8/39
|
**
|
|
26,366
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
05-T20 A1 4.94% 10/42
|
**
|
|
347,968
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
2006-T22 A1 CSTR 4/38
|
**
|
|
405,477
|
***
|
Fidelity
Management Trust Company
|
|
BSCMS
2006-T24 X2 CSTR 10/41
|
**
|
|
135,294
|
***
|
Fidelity
Management Trust Company
|
|
CGCMT
05-EMG A2 4.2211 9/51
|
**
|
|
188,938
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-C8 A1 5.11% 12/46
|
**
|
|
426,592
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-C8 XP CSTR 12/46
|
**
|
|
596,149
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-CN2A BFX 5.537 2/19
|
**
|
|
191,529
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-CN2A CFX 5.47945 2/19
|
**
|
|
80,716
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-CN2A D 5.52861 2/19
|
**
|
|
124,447
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-CN2A E CSTR 2/19
|
**
|
|
189,108
|
***
|
Fidelity
Management Trust Company
|
|
COMM
06-CN2A F CSTR 2/19
|
**
|
|
43,443
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
03-CK2 A2 3.861 3/36
|
**
|
|
24,075
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
05-C1 ASP CSTR 2/38
|
**
|
|
77,110
|
***
|
Fidelity
Management Trust Company
|
|
CSMC
07-C1 A1 5.227 2/40
|
**
|
|
247,524
|
***
|
Fidelity
Management Trust Company
|
|
CSMC
07-C1 ASP CSTR 2/40
|
**
|
|
590,945
|
***
|
Fidelity
Management Trust Company
|
|
CWCI
07-C2 A1 CSTR 9/11
|
**
|
|
314,398
|
***
|
Fidelity
Management Trust Company
|
|
HMPT
99-HMTA B 7.3% 8/15
|
**
|
|
3,788,898
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
05-LDP4 X2 CSTR 10/42
|
**
|
|
266,601
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Mortgage backed securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
07-LDP10 A-1 5.122% 1/49
|
**
|
|
225,452
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
07-LDP10 BS CSTR 5/49
|
**
|
|
73,922
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
07-LDP10 CS CSTR 5/49
|
**
|
|
28,802
|
***
|
Fidelity
Management Trust Company
|
|
JPMCC
2006-LDP9 A1 CSTR 5/47
|
**
|
|
493,401
|
***
|
Fidelity
Management Trust Company
|
|
LBMT
91-2 A3 CSTR 1/17
|
**
|
|
310,560
|
***
|
Fidelity
Management Trust Company
|
|
LBUBS
01-C2 A2 6.653 11/27
|
**
|
|
404,010
|
***
|
Fidelity
Management Trust Company
|
|
MLCFC
06-3 XP CSTR 7/46
|
**
|
|
349,052
|
***
|
Fidelity
Management Trust Company
|
|
MLCFC
07-6 A1 5.175% 3/12/51
|
**
|
|
202,173
|
***
|
Fidelity
Management Trust Company
|
|
MLMT
04-KEY2 A2 4.166% 8/39
|
**
|
|
221,475
|
***
|
Fidelity
Management Trust Company
|
|
MSC
2006-HQ10 X2 CSTR 11/41
|
**
|
|
306,970
|
***
|
Fidelity
Management Trust Company
|
|
STARW
99-C1A B 6.92 2/14
|
**
|
|
231,684
|
***
|
Fidelity
Management Trust Company
|
|
WBCMT
06-C25 A2 5.684% 5/43
|
**
|
|
946,305
|
|
|
|
|
|
|
|
|
Total
mortgage backed securities
|
|
|
**
|
|
119,305,611
|
|
|
|
|
|
|
|
|
Government securities
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
FHLMC
4.875 2/9/10
|
**
|
|
12,301,558
|
***
|
Fidelity
Management Trust Company
|
|
FHLMC
5.75% 1/15/12
|
**
|
|
4,576,964
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
3.25% 2/10/10
|
**
|
|
12,980,677
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
3.625% 8/15/11
|
**
|
|
10,123,967
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
4.875% 5/18/12
|
**
|
|
61,308,403
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
DN 0% 9/25/09
|
**
|
|
13,096,558
|
***
|
Fidelity
Management Trust Company
|
|
USTN
1.125% 12/15/11
|
**
|
|
32,542,206
|
***
|
Fidelity
Management Trust Company
|
|
USTN
1.25% 11/30/10
|
**
|
|
13,245,983
|
***
|
Fidelity
Management Trust Company
|
|
USTN
1.5% 12/31/13
|
**
|
|
6,231,106
|
***
|
Fidelity
Management Trust Company
|
|
USTN
1.75% 11/15/11
|
**
|
|
5,725,084
|
***
|
Fidelity
Management Trust Company
|
|
USTN
2% 11/30/13
|
**
|
|
35,761,774
|
***
|
Fidelity
Management Trust Company
|
|
USTN
2.5% 3/31/13
|
**
|
|
12,711,361
|
***
|
Fidelity
Management Trust Company
|
|
USTN
2.75% 10/31/13
|
**
|
|
3,209,834
|
***
|
Fidelity
Management Trust Company
|
|
USTN
2.75% 2/28/13
|
**
|
|
17,017,099
|
***
|
Fidelity
Management Trust Company
|
|
USTN
3.125% 9/30/13
|
**
|
|
4,478,309
|
***
|
Fidelity
Management Trust Company
|
|
USTN
3.75% 11/15/18
|
**
|
|
17,053,482
|
***
|
Fidelity
Management Trust Company
|
|
USTN
4.5% 11/30/11
|
**
|
|
23,954,886
|
***
|
Fidelity
Management Trust Company
|
|
USTN
4.75% 5/31/12
|
**
|
|
62,365,257
|
***
|
Fidelity
Management Trust Company
|
|
USTN
5.125% 6/30/11
|
**
|
|
20,960,989
|
***
|
Fidelity
Management Trust Company
|
|
USTN
TII .625% 4/15/13
|
**
|
|
3,022,890
|
***
|
Fidelity
Management Trust Company
|
|
FHLG
20YR 5.50% 3/23 #D95897
|
**
|
|
211,516
|
***
|
Fidelity
Management Trust Company
|
|
FHLG
20YR 5.50% 4/24 #C90825
|
**
|
|
725,448
|
***
|
Fidelity
Management Trust Company
|
|
FHLG
20YR 5.50% 5/23 #C90676
|
**
|
|
415,350
|
***
|
Fidelity
Management Trust Company
|
|
FHLG
20YR 5.50% 7/23 #C90691
|
**
|
|
1,016,680
|
***
|
Fidelity
Management Trust Company
|
|
FHLG
20YR 6.00% 9/22 #C90580
|
**
|
|
369,103
|
***
|
Fidelity
Management Trust Company
|
|
FNMA 9.00% 7/18
#482804
|
**
|
|
2,224
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
20YR 5.50% 10/22 #254522
|
**
|
|
5,408
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
20YR 5.50% 11/22 #254543
|
**
|
|
99,443
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
20YR 5.50% 6/23 #254764
|
**
|
|
255,003
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
20YR 6.00% 1/23 #555198
|
**
|
|
151,145
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
20YR 6.00% 9/22 #545887
|
**
|
|
492,473
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
20YR 6.00% 12/18 #440734
|
**
|
|
37,148
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Government securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
GNMA 8.50% 6/30
#532955
|
**
|
|
5,351
|
***
|
Fidelity
Management Trust Company
|
|
GNMA 8.50% 7/30
#533254
|
**
|
|
2,466
|
***
|
Fidelity
Management Trust Company
|
|
BOAMS
03-J 2A2 CSTR 11/33
|
**
|
|
171,111
|
***
|
Fidelity
Management Trust Company
|
|
BOAMS
04-A 2A1 CSTR 2/34
|
**
|
|
122,193
|
***
|
Fidelity
Management Trust Company
|
|
BOAMS
04-D 2A1 CSTR 5/34
|
**
|
|
67,109
|
***
|
Fidelity
Management Trust Company
|
|
BOAMS
05-E 2A7 CSTR 6/35
|
**
|
|
421,876
|
***
|
Fidelity
Management Trust Company
|
|
BOAMS
05-H 1A1 CSTR 9/35
|
**
|
|
63,313
|
***
|
Fidelity
Management Trust Company
|
|
BOAMS
05-H 2A2 CSTR 9/35
|
**
|
|
65,662
|
***
|
Fidelity
Management Trust Company
|
|
BOAMS
05-J 2A4 12ML 11/35
|
**
|
|
1,753,387
|
***
|
Fidelity
Management Trust Company
|
|
BSARM
02-11 1A2 CSTR 2/33
|
**
|
|
8,209
|
***
|
Fidelity
Management Trust Company
|
|
CHASE
07-A2 2A1 CSTR 7/37
|
**
|
|
237,142
|
***
|
Fidelity
Management Trust Company
|
|
CMLTI
2004-UST1 A4 CSTR 8/34
|
**
|
|
600,443
|
***
|
Fidelity
Management Trust Company
|
|
CSFB
04-AR7 2A1 CSTR 11/34
|
**
|
|
221,822
|
***
|
Fidelity
Management Trust Company
|
|
CWHL
05-HYB3 2A6B CSTR 6/35
|
**
|
|
166,256
|
***
|
Fidelity
Management Trust Company
|
|
FHLG
15YR 5.50% 3/19 #E01604
|
**
|
|
235,090
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.22% 2/35 #1B2747
|
**
|
|
517,563
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.30% 11/34 #782877
|
**
|
|
292,000
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.49% 4/35 #1B2869
|
**
|
|
393,754
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.60% 2/35 #783028
|
**
|
|
275,609
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.63% 3/35 #1B2811
|
**
|
|
327,279
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.68% 1/36 #847584
|
**
|
|
129,844
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.69% 11/35 #1B2428
|
**
|
|
702,039
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.74% 4/35 #783104
|
**
|
|
513,971
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.83% 11/35 #1Q0166
|
**
|
|
464,425
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.93% 9/35 #1K1215
|
**
|
|
390,061
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.15% 8/36 #1B7241
|
**
|
|
233,520
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.26% 1/36 #1J1274
|
**
|
|
308,213
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.37% 12/35 #1N0106
|
**
|
|
421,738
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.62% 12/35 #1N0117
|
**
|
|
447,163
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.775% 1/37 #1N1446
|
**
|
|
455,839
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.78% 10/35 #1N0063
|
**
|
|
97,010
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.87% 1/36 #1H2593
|
**
|
|
190,673
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.88% 4/36 #1J1279
|
**
|
|
591,650
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.889% 3/33 #847126
|
**
|
|
14,625
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.941% 11/35 #1J1228
|
**
|
|
330,527
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.084% 8/35 #1J0005
|
**
|
|
122,060
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.232% 1/35 #782988
|
**
|
|
125,132
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.307% 3/35 #783067
|
**
|
|
60,123
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.314% 12/34 #1B2670
|
**
|
|
85,743
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.37% 3/35 #1G0125
|
**
|
|
142,334
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.401% 2/35 #1G0103
|
**
|
|
288,265
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.42% 4/35 #783096
|
**
|
|
430,556
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.434% 2/35 #783032
|
**
|
|
116,375
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.441% 2/34 #781229
|
**
|
|
65,329
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.444% 3/35 #1G0133
|
**
|
|
109,642
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.497% 6/35 #1B2907
|
**
|
|
110,004
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.504% 3/35 #1G0145
|
**
|
|
91,076
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 4.55% 2/35 #1G0068
|
**
|
|
175,222
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Government securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
FHLM
ARM 5.34% 6/35 #1L0097
|
**
|
|
233,449
|
***
|
Fidelity
Management Trust Company
|
|
FHR
2495 UJ 3.5 7/32
|
**
|
|
47,525
|
***
|
Fidelity
Management Trust Company
|
|
FHR
2518 KB 5 9/16
|
**
|
|
28,061
|
***
|
Fidelity
Management Trust Company
|
|
FHR
2786 GA 4 8/17
|
**
|
|
669,971
|
***
|
Fidelity
Management Trust Company
|
|
FHR
2794 JT 6 10/32
|
**
|
|
511,771
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 4.00% 8/18 #727438
|
**
|
|
1,205,207
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 4.50% 12/18 #888889
|
**
|
|
2,160,937
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.00% 1/20 #806684
|
**
|
|
247,482
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.00% 6/19 #779078
|
**
|
|
143,956
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.00% 7/19 #789490
|
**
|
|
125,272
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.00% 7/19 #793192
|
**
|
|
252,954
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.00% 10/18 #775946
|
**
|
|
189,426
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.00% 12/19 #806673
|
**
|
|
270,331
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.50% 1/17 #545411
|
**
|
|
111,636
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.50% 2/17 #631364
|
**
|
|
44,741
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.50% 3/13 #411896
|
**
|
|
10,809
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.50% 3/16 #535777
|
**
|
|
98,833
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.50% 5/17 #619099
|
**
|
|
31,478
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.50% 7/16 #253878
|
**
|
|
97,123
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 5.50% 11/16 #618497
|
**
|
|
57,046
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 6.00% 11/16 #545296
|
**
|
|
140,310
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
15YR 6.50% 3/17 #254236
|
**
|
|
291,032
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.14% 4/33 #688960
|
**
|
|
866,958
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.21% 5/35 #889946
|
**
|
|
369,918
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.30% 2/35 #995017
|
**
|
|
737,115
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.36% 10/37 #889704
|
**
|
|
392,301
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.38% 3/35 #773264
|
**
|
|
208,495
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.38% 7/33 #555702
|
**
|
|
309,399
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.56% 5/35 #888115
|
**
|
|
927,176
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.57% 6/33 #712321
|
**
|
|
582,638
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.59% 7/35 #995016
|
**
|
|
1,471,135
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.66% 7/35 #735942
|
**
|
|
276,486
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.69% 11/35 #844061
|
**
|
|
354,252
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.71% 8/35 #834548
|
**
|
|
2,047,172
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.74% 10/34 #794794
|
**
|
|
316,475
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.75% 5/35 #815626
|
**
|
|
115,015
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.82% 8/34 #793420
|
**
|
|
264,217
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.86% 7/35 #888382
|
**
|
|
646,839
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.876% 7/34 #785318
|
**
|
|
219,486
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.90% 2/36 #995015
|
**
|
|
5,767,013
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.96% 6/35 #825388
|
**
|
|
318,318
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.96% 8/34 #796988
|
**
|
|
192,211
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.987% #995269
|
**
|
|
3,933,608
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.00% 9/34 #801341
|
**
|
|
766,268
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.01% 11/35 #745124
|
**
|
|
272,767
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.04% 7/35 #834931
|
**
|
|
750,058
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.07% 9/36 #888398
|
**
|
|
1,342,355
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.08% 9/36 #889945
|
**
|
|
74,716
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Government securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.10% 5/35 #827782
|
**
|
|
164,110
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.12% 1/34 #725109
|
**
|
|
38,176
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.15% 9/35 #843028
|
**
|
|
1,724,121
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.16% 9/35 #843021
|
**
|
|
1,099,246
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.23% 12/35 #846701
|
**
|
|
459,773
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.280% 3/35 #843014
|
**
|
|
20,513
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.32% 1/36 #850852
|
**
|
|
491,478
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.40% 11/35 #879153
|
**
|
|
297,701
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.409% 2/36 #865319
|
**
|
|
70,921
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.45% 5/36 #745676
|
**
|
|
368,611
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.50% 5/36 #896475
|
**
|
|
344,656
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.51% 4/36 #745672
|
**
|
|
414,420
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.57% 5/36 #891228
|
**
|
|
782,670
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.79% 3/36 #881956
|
**
|
|
697,013
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.80% 3/36 #881670
|
**
|
|
180,638
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.839% 1/36 #879146
|
**
|
|
420,412
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 6.25% 6/36 #886983
|
**
|
|
55,418
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.292% 3/33 #701296
|
**
|
|
21,751
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.409% 10/34 #725968
|
**
|
|
274,446
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.520% 8/35 #829603
|
**
|
|
95,214
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.555% 7/35 #832099
|
**
|
|
203,032
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.58% 7/35 #995273
|
**
|
|
225,253
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.653% 3/35 #816322
|
**
|
|
10,015
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.765% 1/34 #995274
|
**
|
|
18,545
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.785% 2/36 #995271
|
**
|
|
912,570
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.796% 8/35 #825485
|
**
|
|
153,315
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.832% 8/34 #725858
|
**
|
|
39,093
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.862% 9/34 #725855
|
**
|
|
88,757
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.893% 10/35 #847787
|
**
|
|
130,405
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.898% 5/35 #995272
|
**
|
|
75,088
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.898% 10/35 #745060
|
**
|
|
133,937
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.101% 7/35 #841837
|
**
|
|
283,466
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.106% 9/34 #790762
|
**
|
|
56,605
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.229% 8/33 #735030
|
**
|
|
63,316
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.344% 7/35 #834917
|
**
|
|
24,016
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.349% 12/34 #843013
|
**
|
|
76,678
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.541% 11/36 #745972
|
**
|
|
362,599
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 3.752% 10/33 #755148
|
**
|
|
59,558
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 3.753% 10/33 #746320
|
**
|
|
46,969
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 3.984% 5/33 #703915
|
**
|
|
16,253
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.055% 10/18 #749296
|
**
|
|
27,723
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.079% 4/33 #708221
|
**
|
|
9,331
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.115% 2/35 #735343
|
**
|
|
11,677
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.118% 1/35 #807221
|
**
|
|
48,379
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.202% 1/35 #797418
|
**
|
|
135,835
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.293% 3/35 #815586
|
**
|
|
36,589
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.302% 1/35 #827592
|
**
|
|
63,635
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current
value
|
|
Government securities
(continued)
|
|
|
|
|
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.305% 8/33 #555696
|
**
|
|
81,263
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.318% 3/33 #694530
|
**
|
|
32,899
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.319% 5/35 #735538
|
**
|
|
43,983
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.321% 2/35 #773246
|
**
|
|
367,138
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.351 1/35 #783580
|
**
|
|
73,148
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.358% 10/33 #754672
|
**
|
|
20,988
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.372% 4/35 #820407
|
**
|
|
19,993
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.455% 3/35 #773281
|
**
|
|
107,360
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.499% 3/35 #783587
|
**
|
|
237,821
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.5% 2/35 #809429
|
**
|
|
587,137
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.5% 5/35 #820996
|
**
|
|
34,022
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.57% 2/35 #811803
|
**
|
|
35,106
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.575% 7/35 #822002
|
**
|
|
124,525
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.625% 2/35 #809931
|
**
|
|
183,383
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.67% 11/34 #799727
|
**
|
|
195,796
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.801% 2/33 #695019
|
**
|
|
47,378
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 4.85% 11/34 #799812
|
**
|
|
168,598
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.05% 7/34 #801635
|
**
|
|
25,834
|
***
|
Fidelity
Management Trust Company
|
|
FNMA
ARM 5.066% 9/34 #544860
|
**
|
|
90,211
|
***
|
Fidelity
Management Trust Company
|
|
FNR
00-32 FM IML+450 10/30
|
**
|
|
9,997
|
***
|
Fidelity
Management Trust Company
|
|
FNR
00-34 F 1ML+45 10/30
|
**
|
|
32,244
|
***
|
Fidelity
Management Trust Company
|
|
FSPC
T-59 1A3 7.5 10/43
|
**
|
|
78,631
|
***
|
Fidelity
Management Trust Company
|
|
GMACM
05-AR5 1A1 CSTR 9/35
|
**
|
|
163,473
|
***
|
Fidelity
Management Trust Company
|
|
GNR
00-35 F 1ML+55 12/25
|
**
|
|
28,431
|
***
|
Fidelity
Management Trust Company
|
|
IMM
05-1 M4 1ML+75 4/35
|
**
|
|
5,111
|
***
|
Fidelity
Management Trust Company
|
|
IMM
05-1 M5 1ML+77 4/35
|
**
|
|
2,435
|
***
|
Fidelity
Management Trust Company
|
|
IMM
05-1 M6 1ML+82 4/35
|
**
|
|
6,535
|
***
|
Fidelity
Management Trust Company
|
|
JPMMT
06-A2 5A1 CSTR 11/33
|
**
|
|
220,468
|
***
|
Fidelity
Management Trust Company
|
|
JPMMT
07-A1 1A1 CSTR 7/35
|
**
|
|
95,708
|
***
|
Fidelity
Management Trust Company
|
|
MARM
05-1 1A1 1ML+27 3/35
|
**
|
|
19,970
|
***
|
Fidelity
Management Trust Company
|
|
MLCC
99-A A 1ML+38 3/25
|
**
|
|
112,079
|
***
|
Fidelity
Management Trust Company
|
|
MRFC
00-TBC2 A1 1ML 6/30
|
**
|
|
84,931
|
***
|
Fidelity
Management Trust Company
|
|
SEMT
03-4 2A1 1ML+35 7/33
|
**
|
|
64,667
|
***
|
Fidelity
Management Trust Company
|
|
WAMU
02-AR2 A D11COF+125 2/34
|
**
|
|
60,324
|
***
|
Fidelity
Management Trust Company
|
|
WAMU
04-AR7 A6 CSTR 7/34
|
**
|
|
152,425
|
***
|
Fidelity
Management Trust Company
|
|
WAMU
05-AR16 1A3 CSTR 12/35
|
**
|
|
433,890
|
***
|
Fidelity
Management Trust Company
|
|
WFMBS
05-AR10 2A2 CSTR 6/35
|
**
|
|
437,941
|
***
|
Fidelity
Management Trust Company
|
|
WFMBS
05-AR12 2A6 CSTR 7/35
|
**
|
|
438,307
|
***
|
Fidelity
Management Trust Company
|
|
WFMBS
05-AR2 2A2 4.57% 3/35
|
**
|
|
847,956
|
***
|
Fidelity
Management Trust Company
|
|
WFMBS
05-AR4 2A2 CSTR 4/35
|
**
|
|
1,552,076
|
***
|
Fidelity
Management Trust Company
|
|
NC
ST 5 4/1/11
|
**
|
|
3,124,689
|
***
|
Fidelity
Management Trust Company
|
|
NSIDE
TX ISD PSF5.125 2/15/22P
|
**
|
|
1,731,373
|
|
|
|
|
|
|
|
|
Total
government securities
|
|
|
**
|
|
443,616,034
|
|
|
|
|
|
|
|
|
Common stock
|
|
|
|
|
|
*
|
AXA,
S.A.
|
|
AXA
ADR Stock
|
159,246,829
|
|
119,985,343
|
AXA
EQUITABLE 401(k) PLAN
EMPLOYER
ID# 13-5570651, PLAN #005
SCHEDULE
H, PART IV, LINE 4i
SCHEDULE
OF ASSETS (HELD AT END OF YEAR)
(a)
|
(b)
Identity of issue, borrower, lessor, or similar party
|
|
(c)
Description of investment including maturity date, rate of interest,
collateral, par, or maturity value
|
(d)
Cost
|
|
(e)
Current value
|
|
Mutual funds
|
|
|
|
|
|
*
|
Fidelity
Management Research Company
|
|
Spartan
International Index Fund
|
**
|
|
33,396,420
|
*
|
Fidelity
Management Research Company
|
|
Spartan
U.S. Equity Index Fund
|
**
|
|
68,167,963
|
*
|
Fidelity
Management Research Company
|
|
Spartan
Extended Market Index Fund
|
**
|
|
29,149,576
|
|
Pacific
Investment Management Company
|
|
PIMCO
Total Return Inst CL
|
**
|
|
27,032,008
|
|
Morgan
Stanley Investment Management, Inc.
|
|
Morgan
Stanley Instl FD Inc US Real Estate Portfolio
|
**
|
|
8,874,390
|
|
Dodge
and Cox
|
|
Dodge
& Cox Balanced
|
**
|
|
38,030,400
|
|
Morgan
Stanley Investment Management, Inc.
|
|
Morgan
Stanley Institutional Fund Trust: Mid Cap Growth Portfolio Class I
Shares
|
**
|
|
12,751,723
|
*
|
EQ
Advisors Trust
|
|
EQ/AllianceBernstein
Small Cap Growth
|
**
|
|
10,588,303
|
*
|
EQ
Advisors Trust
|
|
EQ/GAMCO
Small Co Value Portfolio Class IA
|
**
|
|
14,900,105
|
*
|
EQ
Advisors Trust
|
|
EQ/Marsico
Focus Portfolio Class IA
|
**
|
|
17,810,559
|
*
|
EQ
Advisors Trust
|
|
EQ/International
Growth Class IA
|
**
|
|
22,097,759
|
*
|
AXA
Premier VIP Trust
|
|
Multimanager
Large Cap Core Equity Portfolio
|
**
|
|
7,332,508
|
*
|
AXA
Premier VIP Trust
|
|
Multimanager
Large Cap Value Portfolio
|
**
|
|
14,303,584
|
|
Columbia
Management Advisors, LLC
|
|
Columbia
Mid Cap Value Fund Class Z
|
**
|
|
12,302,690
|
|
Winslow
Management Company, LLC
|
|
Winslow
Green Growth Instl CL
|
**
|
|
2,448,507
|
|
Goldman
Sachs Asset Management, L.P.
|
|
Goldman
Sachs High Yield Fund Institutional Class
|
**
|
|
22,188,272
|
*
|
Alliance
Bernstein, L.P.
|
|
AllianceBernstein
International Value Fund Institutional Class
|
**
|
|
20,043,214
|
*
|
Alliance
Bernstein, L.P.
|
|
Alliance
Bernstein Global Real Estate Securities
|
**
|
|
29,837,562
|
*
|
Alliance
Bernstein, L.P.
|
|
Alliance
Bernstein International Equity Index
|
**
|
|
41,636,163
|
*
|
Alliance
Bernstein, L.P.
|
|
Alliance
Bernstein Short Duration Bond Index
|
**
|
|
4,752,292
|
*
|
Alliance
Bernstein, L.P.
|
|
Alliance
Bernstein US Aggregate Bond Index
|
**
|
|
32,094,745
|
*
|
Alliance
Bernstein, L.P.
|
|
Alliance
Bernstein US Inflation-Linked Securities
|
**
|
|
17,969,772
|
*
|
Alliance
Bernstein, L.P.
|
|
Alliance
Bernstein US Large Cap Index
|
**
|
|
124,599,888
|
*
|
Fidelity
Management Trust Company
|
|
Fidelity
Money Market Portfolio
|
**
|
|
28,307,170
|
*
|
AXA,
S.A.
|
|
AXA
ADR Stock Fund - Interest Bearing Cash
|
**
|
|
4,608,284
|
*
|
Alliance
Bernstein, L.P.
|
|
Alliance
Bernstein US Small & Mid Cap Index
|
**
|
|
19,372,201
|
|
|
|
|
|
|
|
|
Total
mutual funds
|
|
|
**
|
|
664,596,058
|
|
|
|
|
|
|
|
|
Wrapper contract
|
|
|
|
|
|
|
AIG
Financial Products Co.
|
|
Contract
#931942
|
**
|
|
197,455
|
|
JP
Morgan Chase
|
|
Contract
#AXA-2-07
|
**
|
|
206,883
|
|
State
St Bk & Tr Co Boston
|
|
Contract
#107007
|
**
|
|
225,668
|
|
|
|
|
|
|
|
|
Total
wrapper contract
|
|
|
**
|
|
630,006
|
|
|
|
|
|
|
|
|
Participant loans
|
|
|
|
|
|
*
|
Participant
Loans
|
|
5.0%
to 11.5%
|
**
|
|
25,046,130
|
|
|
|
|
|
|
|
|
Total
investments
|
|
|
**
|
|
$ 1,467,600,011
|
|
|
|
|
|
|
|
*
|
Represents
a party-in-interest.
|
|
|
|
|
|
**
|
Cost
information is not required for participant-directed investments and,
therefore, is not included.
|
|
|
***
|
Represents
underlying investments
of the Plan's
Synthetic
GICs, which amounts are presented at fair value and are managed by
a
party-in-interest
.
|
|
|
SIGNATURES
The
Plan
: Pursuant to the requirements of the Securities Exchange
Act of 1934, the trustees (or other persons who administer the employee benefit
plans) have duly caused this annual report to be signed on its behalf by the
undersigned thereunto duly authorized.
|
|
|
|
AXA
Equitable 401(k) Plan
|
|
|
|
|
(Name
of Plan)
|
|
|
|
|
|
Dated: June
19, 2009
|
|
|
By:
|
/s/
Steve
Vigneron
|
|
|
|
|
STEVE
VIGNERON
|
|
|
|
|
Chairperson
of The Administrative Committee of Benefit Plans of AXA Equitable Life
Insurance Company (Plan Administrator) and Vice President of AXA Equitable
Life Insurance Company (Plan Sponsor)
|
|
|
|
|
|
Dated: June
19, 2009
|
|
|
By:
|
/s/
Eric
Goff
|
|
|
|
|
ERIC
GOFF
|
|
|
|
|
Senior
Vice President of Compensation and Benefits of AXA Equitable Life
Insurance Company (Plan
Sponsor)
|
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