Current Report Filing (8-k)
January 10 2020 - 4:15PM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 6, 2020
AXA Equitable Holdings, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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001-38469
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90-0226248
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(State or other jurisdiction of
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(Commission File Number)
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(I.R.S. Employer
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incorporation or organization)
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Identification No.)
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1290 Avenue of the Americas,
New York, New York
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10104
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(Address of principal executive offices)
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(Zip Code)
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(212) 554-1234
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Title of each class
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Trading Symbol
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Name of Exchange on which registered
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Common Stock
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EQH
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New York Stock Exchange
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Depositary Shares, each representing a 1/1,000th interest in a share of Fixed Rate Noncumulative Perpetual Preferred Stock, Series A
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EQH PR A
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New York Stock Exchange
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Years.
On January 6, 2020, AXA Equitable Holdings, Inc. (the “Company”) filed with the Secretary of State of the State of Delaware a Certificate of Amendment to our Certificate of Incorporation to remove “AXA” from our corporate name, effective January 13, 2020. A copy of the Certificate of Amendment of Certificate of Incorporation is attached as Exhibit 3.1 hereto and incorporated herein by reference.
The Company’s by-laws were also amended to remove “AXA” from our corporate name, also effective January 13, 2020. No other changes were made to the by-laws. A copy of the Second Amended and Restated By-laws is attached as Exhibit 3.2 hereto and incorporated herein by reference.
Item 8.01 Other Events.
Our common stock will continue to trade on the NYSE under the ticker symbol “EQH”. The new CUSIP number for the Company’s shares of common stock will be 29452E 101. The new CUSIP number for the Company’s depositary shares, each representing a 1/1000th interest in a share of Fixed Rate Noncumulative Perpetual Preferred Stock, Series A, will be 29452E 200.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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AXA EQUITABLE HOLDINGS, INC.
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Date: January 10, 2020
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By:
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/s/ Dave S. Hattem
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Name:
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Dave S. Hattem
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Title:
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Senior Executive Vice President, Chief Legal Officer and Secretary
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