AXA EQUITABLE LIFE INSURANCE COMPANY

Transcription

1 QUARTERLY STATEMENT OF THE AXA EQUITABLE LIFE INSURANCE COMPANY 0 OF New York IN THE STATE OF New York TO THE INSURANCE DEPARTMENT OF THE STATE OF AS OF SEPTEMBER 0, 0 LIFE AND ACCIDENT AND HEALTH 0

2 Barcode : Jurat Page I ~oc # 0 Placement: Quarterly an Annual Statements CompanyName : AX EQUITABLE LIFE INS.CO LIFE AND ACCIDENT AND HEAL TH COMPANIES-ASSOCIA TION EDITON JllljlllllI IIIIjllii JIIIIJIIII IIIIIJIIII II ~i NAIC Group Code 0968 Currnt Pênoa) QUARTERL Y STATEMENT AS OF SEPTEMBER 0, 0 OF THE CONDITION AND AFFAIRS OF THE AXA EQUITABLE LIFE INSURANCE COMPANY 0968 NAIC Company Code (poor Panoa) 6944 Employer's ID Number Organized under the Laws of New York State of Domicile of Port of Entry New York Country of Domicile United States of America Incorporated/Organized: Julv 6, 859 Commenced Business: July 8, 859 Statutory Home Offce: 90 Avenue of the Americas New York, New York 004 Main Administrative Office: 90 Avenue of the Americas New York, New York Phone Number: () Mail Address: 90 Avenue of the Americas New York, New York Phone Number: () Primary Location of Books and Records: 90 Avenue of the Americas, New York, New York 004 () Internet Web Site Address: ww.axa-equitable.com Statutory Statement Contact: Nicholas Gismondi, Vice President (0) address: controllers(laxa-equitable.com Fax number: (0) OFFICERS MARK PEARSON Chairman of the Board and Chief Executive Offcer ANDREW JOHN McMAHON President RICHARD STEVEN DZIADZIO # Senior Executive Vice President, Chief Financial Offcer and Treasurer NICHOLAS BURRITT LANE Senior Executive Vice President SAL VA TORE FERNANDO PIAZZOLLA Senior Executive Vice President AL VIN HENRY FENICHEL Senior Vice President and Chief Accounting Officer RICHARD VICTOR SIL VER Senior Executive Vice President, Chief Administrative Offcer and Chief Legal Officer KEITH ELLIOTT FLOMAN Senior Vice President and Appointed Actuary KAREN FIELD HAZIN Vice President, Secretary and Associate General Counsel DIRECTORS CHARLES ANGELO MARINO Executive Vice President and Chief Actuary ANDREW OWEN RAFTIS Senior Vice President and Auditor HENRI de CASTRIES CHARL YNN GOINS JAMES FRANCIS HIGGINS SCOTT DANIELLS MILLER EZRA SULEIMAN State of... New york RAMON de OLIVEIRA DANNY LYMAN HALE PETER STEPHEN KRAUS MARK PEARSON PETER JOSEPH TOBIN DENIS DUVERNE ANTHONY JOHN HAMIL TON ANDREW JOHN McMAHON LORIE ANN SLUTSKY RICHARD CHARLES VAUGHAN County of... New york... ss The offcers ofax EQUITABLE UFE INSURANCE COMPANY being duly swom, each depoe and say that they are the described offcers of the said reporting entity, and that on the reporting period stated above, all of the herein described assets were the absolute propert of the said reporting entit, free and clear frm any liens or claims thereon, except as herein stated, and that this statement, together with related exhibits, schedules and explanations therein contained, annexed or referrd to, is a full and true statement of all the assets and liabilities and of the condition and affairs of the said reporting entity as of the reporting period stated above, and of its income and deductions therefrm for the period ended, and have been completed in accordance with the NAle Annual Statement Instructions and Accounting Practices and Procedures manual except to the extent that: () state law may difr; or, () that state rules or regulations require differences in reporting not related to accounting practices and procedures, according to the best of their information, knowledge and belief, respectively. Furthermore, the scope of this attestation by the described offcers also includes the related corrsponding electronic filing with the NAIC, when required, that is an (J~ exact copy (except for formatting difrences due to electronic filing) of the enclosed statement. The electronic / filing may be requested by various regulators in lieu of or in addition to the enclosed statement. "' /',/ ~. J~4 7 / fl AL VIN HENRY FENICHEL KEITHÊLLlOTT FLOMAN L-... e, KAREN FIELD HAŽ Senior Vice President and Chief Accounting Senior Vice President and Appointed Actuary Vice President, Secretary and Associate General Counsel Offcer ~~ Subscribed and sworn to before me this cr~~'c9'j:æ OrchId Garbut Notary Public, State of New York No, 0GA Qualifed In: Kings County Cenlcate filed In New York County Commission Expires: 0/004 /.\...a.../s this an original filing? Yes (x) No (),...,. ',.,". " 0...'.- /~,..,...,..."",~..... u Pi Jf'io,.. State the amendment number.. \' '.,..,....' If' ö...;. Date filed.,' 'l c.,,"'....:: (/. Number of pages attached \..: ~ 0 T A I' y ", --.:... :-":,"\... ii tj 8 \. \ Go ":,~ / o r. r,~\ " " -..,A"'"

3 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY ASSETS Assets Current Statement Date 4 Nonadmitted Assets Net Admitted Assets (Cols. - ) December Prior Year Net Admitted Assets. Bonds 8,40,479,87 0 8,40,479,87 7,977,,76. Stocks:. Preferred stocks 75,065, ,065,64 0,76,857. Common stocks 6,898,96 0 6,898,96,096,46,590. Mortgage loans on real estate:. First liens 4,47,44,5 0 4,47,44,5,96,964,907. Other than first liens,600, 0,600,,647, 4. Real estate: 4. Properties occupied by the company (less $ 0 encumbrances) Properties held for the production of income (less $ 0 encumbrances) Properties held for sale (less $ 0 encumbrances) Cash ($ 58,6,544 ), cash equivalents ($ 0 ) and short-term investments ($,06,44,74 ),564,675,98 0,564,675,98,6,, Contract loans (including $ 0 premium notes),548,855,049 5,086,447,54,768,60,574,49, Derivatives,667,97,65 0,667,97,65 489,90, Other invested assets,796,67,054,054,786,795,,68,580,590,98 9. Receivables for securities 75,786,7 0 75,786,7 5,558,80 0. Securities lending reinvested collateral assets Aggregate write-ins for invested assets 5,585,54 0 5,585,54 99,70,000. Subtotals, cash and invested assets (Lines to ) 44,05,96,9 6,4, 44,99,54,986 40,48,4,. Title plants less $ 0 charged off (for Title insurers only) Investment income due and accrued 565,50, ,50,79 555,74,0 5. Premiums and considerations: 5. Uncollected premiums and agents balances in the course of collection (9,64,860) 0 (9,64,860) (8,84,08) 5. Deferred premiums, agents balances and installments booked but deferred and not yet due (including $ 0 earned but unbilled premiums) 8,08, ,08,857 66,85,69 5. Accrued retrospective premiums Reinsurance: 6. Amounts recoverable from reinsurers 49,505, 0 49,505, 79,97,54 6. Funds held by or deposited with reinsured companies 9,97 0 9, Other amounts receivable under reinsurance contracts 0,488,90 0 0,488,90,00,75 7. Amounts receivable relating to uninsured plans Current federal and foreign income tax recoverable and interest thereon Net deferred tax asset,044,5,5 4,,5 70,00,000 69,00,46 9. Guaranty funds receivable or on deposit,748,956 0,748,956,997,0 0. Electronic data processing equipment and software 84,550,08 79,49,65 5,00,469 4,7,07. Furniture and equipment, including health care delivery assets ($ 0 ) 7,69,4 7,69, Net adjustment in assets and liabilities due to foreign exchange rates 5,40 0 5, Receivables from parent, subsidiaries and affiliates 5,00,85 0 5,00,85 95,86,85 4. Health care ($ 0 ) and other amounts receivable Aggregate write-ins for other than invested assets 880,54,8 58,65,60 8,60,580 9,45,57 6. Total assets excluding Separate Accounts, Segregated Accounts and Protected Cell Accounts (Lines to 5) 47,60,54,99 605,05,04 46,755,9,950 4,768,4, 7. From Separate Accounts, Segregated Accounts and Protected Cell Accounts 8,650,59,87 0 8,650,59,87 9,957,775,58 8. Total (Lines 6 and 7),00,694,80 605,05,04 0,405,679,7 5,76,09,89 DETAILS OF WRITE-INS 0. Collateral on Derivatives Instruments 5,40, ,40,000 99,70, Miscellaneous invested assets 45, , Summary of remaining write-ins for Line from overflow page Totals (Lines 0 through 0 plus 98) (Line above) 5,585,54 0 5,585,54 99,70, Aviation reinsurance premiums due and unpaid 5, ,774 77, Accrued charges for administrative, separate accounts, claim service and other fees 76, ,900 77,0 50. Miscellaneous assets 7,7,6 0 7,7,6 8,098, Summary of remaining write-ins for Line 5 from overflow page 806,9,45 58,65,60 748,79,54 80,4, Totals (Lines 50 through 50 plus 598) (Line 5 above) 880,54,8 58,65,60 8,60,580 9,45,57

4 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY LIABILITIES, SURPLUS AND OTHER FUNDS Current December Prior Year Statement Date. Aggregate reserve for life contracts $ 8,64,0, less $ 0 included in Line 6. (including $ 65,07 Modco Reserve) 8,64,0, 6,684,09,957. Aggregate reserve for accident and health contracts (including $ 0 Modco Reserve) 446,0,74 49,486,65. Liability for deposit-type contracts (including $ 0 Modco Reserve) 86,40,058 88,856, Contract claims: 4. Life 7,46,50 6,77, Accident and health 90,,88 90,649,88 5. Policyholders' dividends $,646,088 and coupons $ 0 due and unpaid,646,088,059, Provision for policyholders' dividends and coupons payable in following calendar year estimated amounts: 6. Dividends apportioned for payment (including $ 0 Modco) 89,899,960 8,695,50 6. Dividends not yet apportioned (including $ 0 Modco) 46,5, Coupons and similar benefits (including $ 0 Modco) Amount provisionally held for deferred dividend policies not included in Line Premiums and annuity considerations for life and accident and health contracts received in advance less $,958 discount; including $ 80,00 accident and health premiums 7,665,08 6,657, Contract liabilities not included elsewhere: 9. Surrender values on canceled contracts Provision for experience rating refunds, including $ 0 accident and health experience rating refunds,0,9,696,5 9. Other amounts payable on reinsurance, including $ 9,97 assumed and $,567,786 ceded,86,759,084,6 9.4 Interest Maintenance Reserve 4,04,885 54,08,0 0. Commissions to agents due or accrued-life and annuity contracts $ 8,05,964, accident and health $,860 and deposit-type contract funds $ 0 8,59,84 5,776,958. Commissions and expense allowances payable on reinsurance assumed 4,9,86 4,,56. General expenses due or accrued 90,575,5,0,078. Transfers to Separate Accounts due or accrued (net) (including $ (,00,757,0) accrued for expense allowances recognized in reserves, net of reinsured allowances) (,,70,57) (,799,70,56) 4. Taxes, licenses and fees due or accrued, excluding federal income taxes 46,74,47 5,,58 5.Current federal and foreign income taxes, including $ 80,56,856 on realized capital gains (losses) 9,04,79 69,95,7 5. Net deferred tax liability Unearned investment income,49,677,08,87 7. Amounts withheld or retained by company as agent or trustee,498,75, ,8, Amounts held for agents' account, including $ 0 agents' credit balances Remittances and items not allocated 7,086,78 44,476,74 0. Net adjustment in assets and liabilities due to foreign exchange rates 5,86. Liability for benefits for employees and agents if not included above 5,506,4 858,86,088. Borrowed money $ 0 and interest thereon $ Dividends to stockholders declared and unpaid Miscellaneous liabilities: 4.0 Asset valuation reserve 40,087,90 40,56, Reinsurance in unauthorized companies,6,804,80 79,50, Funds held under reinsurance treaties with unauthorized reinsurers Payable to parent, subsidiaries and affiliates,0,67 6,95, 4.05 Drafts outstanding Liability for amounts held under uninsured plans Funds held under coinsurance Derivatives Payable for securities 5,94,55,97, Payable for securities lending Capital notes $ 0 and interest thereon $ Aggregate write-ins for liabilities 4,68,64,79,04 6. Total liabilities excluding Separate Accounts business (Lines to 5) 4,0,6,4 9,08,56,77 7. From Separate Accounts statement 8,54,907,79 9,886,6,8 8. Total liabilities (Lines 6 and 7) 5,765,4,60,94,84, Common capital stock,500,000,500, Preferred capital stock 0 0. Aggregate write-ins for other than special surplus funds 0 0. Surplus notes,54,90,00,54,906,000. Gross paid in and contributed surplus,605,8,60,605,5,5 4. Aggregate write-ins for special surplus funds,84,9,54,58,497,50 5. Unassigned funds (surplus) (677,4,580) (,589,769,459) 6. Less treasury stock, at cost: 6. 0 shares common (value included in Line 9 $ 0 ) shares preferred (value included in Line 0 $ 0 ) Surplus (Total Lines ) (including $ 5,6,08 in Separate Accounts Statement) 4,67,95,66,798,785,44 8. Totals of Lines 9, 0 and 7 4,640,45,66,80,85,44 9. Totals of Lines 8 and 8 (Page, Line 8, Col. ) 0,405,679,7 5,76,09,89 DETAILS OF WRITE-INS 50. Unearned premium reserve for aviation reinsurance,94, Aviation reinsurance losses 5,58,97 5,008, Accrued interest on policy claims and other contract funds 4,78,90 9,849, Summary of remaining write-ins for Line 5 from overflow page 66,505,494 96,57, Totals (Lines 50 through 50 plus 598) (Line 5 above) 4,68,64,79, Summary of remaining write-ins for Line from overflow page Totals (Lines 0 through 0 plus 98) (Line above) Reserve for aviation reinsurance 0,000,000 0,000, Special contingent reserve fund for separate accounts,500,000,500, Separate account annuitant mortality fluctuation funds 876,97,5 876,97, Summary of remaining write-ins for Line 4 from overflow page 76,04,6 49,600, Totals (Lines 40 through 40 plus 498) (Line 4 above),84,9,54,58,497,50

5 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY SUMMARY OF OPERATIONS Current Year Prior Year Year to Date Prior Year Ended December To Date. Premiums and annuity considerations for life and accident and health contracts 7,878,69,969 7,9,09,05 9,678,75,0. Considerations for supplementary contracts with life contingencies 7,06,796 9,757,45 7,55,8. Net investment income,87,57,990,05,7,07,44,00,59 4. Amortization of Interest Maintenance Reserve (IMR),77,9 6,660,760,6,04 5. Separate Accounts net gain from operations excluding unrealized gains or losses (,096,567) (,7,88) (4,9,54) 6. Commissions and expense allowances on reinsurance ceded 8,970,56 0,6, 9,5,89 7. Reserve adjustments on reinsurance ceded (5,88,04) (4,5,95) (5,,98) 8. Miscellaneous Income: 8. Income from fees associated with investment management, administration and contract guarantees from Separate Accounts 90,7,9 80,908,98,9,8, Charges and fees for deposit-type contracts Aggregate write-ins for miscellaneous income 87,89,78 506,507, 755,8,70 9. Totals (Lines to 8.) 0,96,964,466 0,64,4,89 4,08,79,69 0. Death benefits 995,70,748 96,04,998,0,46,55. Matured endowments (excluding guaranteed annual pure endowments) 4,050,57,559,989 5,784,70. Annuity benefits,09,48,47,04,75,0,9,67,0. Disability benefits and benefits under accident and health contracts 59,494,06 6,8,4 80,6,67 4. Coupons, guaranteed annual pure endowments and similar benefits Surrender benefits and withdrawals for life contracts 5,85,78,05 5,50,89,467 7,548,0, Group conversions Interest and adjustments on contract or deposit-type contract funds 9,74,484 6,8,658 90,98,80 8. Payments on supplementary contracts with life contingencies 50,664,564 50,607,676 67,99,58 9. Increase in aggregate reserves for life and accident and health contracts,586,45,8,58,096,969,57,000,47 0. Totals (Lines 0 to 9) 9,590,5,858 8,945,587,97,74,,0. Commissions on premiums, annuity considerations, and deposit-type contract funds (direct business only) 87,90,864 75,,49,05,70,58. Commissions and expense allowances on reinsurance assumed 6,8,56 8,608,907 9,74,74. General insurance expenses 495,78,8 457,0,8 69,684,69 4. Insurance taxes, licenses and fees, excluding federal income taxes 77,9,49 69,507,78 84,647,66 5. Increase in loading on deferred and uncollected premiums (9,90,8) (,686,4) (,94,749) 6. Net transfers to or (from) Separate Accounts net of reinsurance (,77,654) (479,85,055) (708,878,708) 7. Aggregate write-ins for deductions 84,555,407 4,649,799 6,70, Totals (Lines 0 to 7) 0,994,7,69 9,88,06,57,008,9,80 9. Net gain from operations before dividends to policyholders and federal income taxes (Line 9 minus Line 8) (,09,6) 758,88,75,074,98,49 0. Dividends to policyholders 48,6,95 59,574,96,,9. Net gain from operations after dividends to policyholders and before federal income taxes (Line 9 minus Line 0) (79,94,6) 498,64,49 75,67,047. Federal and foreign income taxes incurred (excluding tax on capital gains) (90,80,0) 7,649,78 59,705,885. Net gain from operations after dividends to policyholders and federal income taxes and before realized capital gains or (losses) (Line minus Line ) 650,49,004 6,965,6 59,46,6 4. Net realized capital gains (losses) (excluding gains (losses) transferred to the IMR) less capital gains tax of $ 90,70,854 (excluding taxes of $ 5,8,45 transferred to the IMR) 67,970,4 (586,8,57) (,0,86,5) 5. Net income (Line plus Line 4),78,409,45 (59,7,896) (50,40,05) CAPITAL AND SURPLUS ACCOUNT 6. Capital and surplus, December, prior year,80,85,44,5,94,59,5,94,59 7. Net income (Line 5),78,409,45 (59,7,896) (50,40,05) 8. Change in net unrealized capital gains (losses) less capital gains tax of $ 57,075,858 67,65,550 64,8,99 88,6,6 9. Change in net unrealized foreign exchange capital gain (loss) (,998,76) 404,7,07, Change in net deferred income tax (54,7,088) 6,90,09 (6,77,4) 4. Change in nonadmitted assets 9,44,09 5,878,947 6,578,59 4. Change in liability for reinsurance in unauthorized companies (757,0,090) 69,67,9 949,878, Change in reserve on account of change in valuation basis, (increase) or decrease 0 0 (4,,8) 44. Change in asset valuation reserve 90,474,596 05,58,68 9,457,6 45. Change in treasury stock Surplus (contributed to) withdrawn from Separate Accounts during period (0,950,96) 7,60,47,96, Other changes in surplus in Separate Accounts Statement 47,5,86 (8,5,68) (0,4,5) 48. Change in surplus notes 4,00 4,00 8, Cumulative effect of changes in accounting principles Capital changes: 50. Paid in Transferred from surplus (Stock Dividend) Transferred to surplus Surplus adjustment: 5. Paid in 77,49,7,00,75, Transferred to capital (Stock Dividend) Transferred from capital Change in surplus as a result of reinsurance Dividends to stockholders (79,000,000) 0 (00,000,000) 5. Aggregate write-ins for gains and losses in surplus (7,684,84) 68,4,97 4,964, Net change in capital and surplus (Lines 7 through 5) 89,50,9,08,64,05 685,4, Capital and surplus, as of statement date (Lines ) 4,640,45,66 4,4,05,607,80,85,44 DETAILS OF WRITE-INS Aviation reisurance premiums (95,0) (,44) (,44) Sundry receipts and adjustments, including fees for administrative and management services 88,04,89 506,509, ,876, Separate Account miscellaneous receipts ,406, Summary of remaining write-ins for Line 8. from overflow page Totals (Lines 08.0 through 08.0 plus 08.98) (Line 8. above) 87,89,78 506,507, 755,8, Aviation reinsurance losses (gains) 97,990 (,099,6) (40,8) 70. Increase (decrease) in certain liabilities 5,545,580,74,7 8,886,0 70. Sundry disbursements and adjustments 58,00,699 0,005,864 70,0, Summary of remaining write-ins for Line 7 from overflow page 6,8 8,94 8,6, Totals (Lines 70 through 70 plus 798) (Line 7 above) 84,555,407 4,649,799 6,70, Tax Benefit Associated with Compensation Plans 890, ,00 847, Additional Minimum Liability on Qualified Pension Plan 0 0 (55,84,000) 50. Additional Admitted Deferred Tax Asset (7,575,87) 80,698,47,7, Summary of remaining write-ins for Line 5 from overflow page 0 (,764,80) (,764,80) 599. Totals (Lines 50 through 50 plus 598) (Line 5 above) (7,684,84) 68,4,97 4,964,95 4

6 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY CASH FLOW Current Year To Date Prior Year To Date Prior Year Ended December Cash from Operations. Premiums collected net of reinsurance 7,88,0,748 7,94,06,6 9,685,00,850. Net investment income,89,467,6,006,579,658,45,690,06. Miscellaneous income,8,60,449,6,96,4,869,8,58 4. Total (Lines to ) 0,894,08,88 0,56,98,4 4,008,84,78 5. Benefit and loss related payments 7,949,645,09 7,65,9,055 0,44,897, Net transfers to Separate Accounts, Segregated Accounts and Protected Cell Accounts (690,74,60) (76,44,64) (9,669,47) 7. Commissions, expenses paid and aggregate write-ins for deductions,40,966,047,88,48,45,854,77,07 8. Dividends paid to policyholders 4,8,840 50,74,964 8,8, Federal and foreign income taxes paid (recovered) net of $ 0 tax on capital gains (losses),700,97 7,995 (8,84,906) 0. Total (Lines 5 through 9) 8,94,887,75 8,565,860,808,6,95,675. Net cash from operations (Line 4 minus Line 0),979,5,075,96,,6,96,879,06 Cash from Investments. Proceeds from investments sold, matured or repaid:. Bonds 4,4,878,694,8,7,750 5,,64,867. Stocks 78,4,584,75,984 79,97,545. Mortgage loans 00,95,9 4,7,59 6,4,0.4 Real estate Other invested assets 66,9,95 44,8,67 5,768,05.6 Net gains or (losses) on cash, cash equivalents and short-term investments (40) Miscellaneous proceeds,6,04,50 (0,998,908) (84,,097).8 Total investment proceeds (Lines. to.7) 6,600,99,459 4,00,4,88 5,4,59,44. Cost of investments acquired (long-term only):. Bonds 4,805,546,60 5,7,66,800 6,49,6,786. Stocks 44,6,677,95,4 6,98,746. Mortgage loans 8,987,55,49,99 67,448,69.4 Real estate Other invested assets 07,959,660 98,6,44 98,09,90.6 Miscellaneous applications 8,4,9 77,599,00 0,989,709.7 Total investments acquired (Lines. to.6) 6,8,95,4 6,,8,955 7,4,0, Net increase (or decrease) in contract loans and premium notes (9,46,46) (,975,694) (6,947,68) 5. Net cash from investments (Line.8 minus Line.7 and Line 4) 5,40,509 (,00,94,4) (,946,0,700) Cash from Financing and Miscellaneous Sources 6. Cash provided (applied): 6. Surplus notes, capital notes Capital and paid in surplus, less treasury stock 77,49,7,00,75, Borrowed funds Net deposits on deposit-type contracts and other insurance liabilities (9,485,89) (7,0,66) (49,88,76) 6.5 Dividends to stockholders 79,000, ,000, Other cash provided (applied) 66,080,4 686,467,69 90,84,69 7. Net cash from financing and miscellaneous sources (Line 6. through Line 6.4 minus Line 6.5 plus Line 6.6) (5,8,0) 650,56,0 (57,79,67) RECONCILIATION OF CASH, CASH EQUIVALENTS AND SHORT-TERM INVESTMENTS 8. Net change in cash, cash equivalents and short-term investments (Line, plus Lines 5 and 7),48,5,74 50,74,006 9,07,76 9. Cash, cash equivalents and short-term investments: 9. Beginning of year,6,,544 8,49,808 8,49, End of period (Line 8 plus Line 9.),564,675,98,4,99,84,6,,544 Note: Supplemental disclosures of cash flow information for non-cash transactions: Non cash acquistion of investments 66,76,678,054,95 6,40, Non cash disposition of investments 650,096,5,70,996,705,88 5

7 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY EXHIBIT DIRECT PREMIUMS AND DEPOSIT-TYPE CONTRACTS Current Year to Date Prior Year to Date Prior Year Ended December. Industrial life Ordinary life insurance,969,45,809,96,800,7,697,85,78. Ordinary individual annuities,6,44,009,00,46,66,89,7, Credit life (group and individual) Group life insurance Group annuities,706,55,098,54,70,567 4,705,786,8 7. A & H - group A & H - credit (group and individual) A & H - other 7,09,465 76,68,68 00,46,56 0. Aggregate of all other lines of business Subtotal 8,58,4,8 7,67,70,64 0,,09,840. Deposit-type contracts 0 00,000 00,000. Total 8,58,4,8 7,67,80,64 0,,409,840 DETAILS OF WRITE-INS Summary of remaining write-ins for Line 0 from overflow page Totals (Lines 00 through 00 plus 098) (Line 0 above)

8 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY Note - Summary of Significant Accounting Policies. A. Accounting Practices NOTES TO FINANCIAL STATEMENTS The accompanying financial statements of AXA Equitable Life Insurance Company ( AXA Equitable ) have been prepared in conformity with accounting practices prescribed or permitted by the Insurance Department of the State of New York ("SAP"). The New York State Insurance Department recognizes only SAP for determining and reporting the financial condition and results of operations of an insurance company, in order to determine its solvency under the New York State Insurance Laws. The National Association of Insurance Commissioners ( NAIC ) Accounting Practices and Procedures manual ( NAIC SAP ) has been adopted as a component of prescribed or permitted practices by the State of New York. There are no differences in net income and capital and surplus between NAIC SAP and SAP for AXA Equitable. Note - Accounting Changes and Corrections of Errors Note - Business Combinations and Goodwill Note 4 - Discontinued Operations Note 5 - Investments A - C and E - G. D. Loan-backed Securities The table below summarizes the amount of the Company's investment in loan-backed securities: Assets Admitted Value as of September 0, 0 Fair Value as of September 0, 0 Loan-backed securities,06,5,9,075,5,90 () Prepayment assumptions for loan-backed bonds and structured securities were obtained from broker-dealer survey values or internal estimates. These assumptions are consistent with the current interest rate and economic environment. The retrospective adjustment method is predominately used to value all securities; the prospective adjustment method was used to value issues in default and issues that have a variable interest rate. () Loan-backed securities with a recognized other than temporary impairment as of September 0, 0 are as follows: Amortized Cost Basis before Other than Temporary Impairment (OTTI) a Unrealized Losses b Other than Temporary Impairment Recognized in Loss Interest Non-interest Fair Value -(a+b) Aggregate Intent to Sell Aggregate Intent & Ability PV of Cash Flows < Amortization Cost 4,4,076 0,888,08 09,640,8 70,90,6 The $0,888,08 of unrealized losses includes $8,74,7 of valuation allowances already recognized through surplus. The $09,640,8 of OTTI includes $,964,05 of current year impairments. 7

9 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY NOTES TO FINANCIAL STATEMENTS () Each loan-backed security held as of September 0, 0 with a recognized other than temporary impairment recorded during the current year, reflecting the present value of cash flows expected to be collected as less than the amortized cost basis of the securities, is as follows: Book/Adjusted Recognized other- Carrying Value than-temporary before current Projected Cash impairment Amortized cost Fair Value CUSIP period OTTI Flows - after OTTI 05947U6J,859,88 96,46,56,40 96,46 5,505 68CXK4,97,09 59,7,7,876 59,7 08, LS6 4,898,594,074,84,8,75,074,84 95, LT4,450,478 65,650,084,88 65,650 4, FAW 4,69,59 4,86,80 9,778,49 4,86,80,0,04 8,8,576 6,857,55,964,05 6,857,55 4,90, (4) Impaired (fair value is less than amortized cost) loan-backed securities for which an other than temporary impairment has not been recognized as a realized loss as of September 0, 0 are as follows: Unrealized Losses Fair Value Securities in continuous unrealized loss position < months,587,905 54,857,96 Securities in continuous unrealized loss position > months 4,58,77 840,69,5 The $44,746,6 unrealized losses includes $ 98,64,00 of valuation allowances already recognized through surplus. (5) The Company does not hold any loan-backed investments that have not been evaluated for impairment in accordance with SSAP #7. The Company does not currently hold any loan-backed securities with off-balance sheet risk. The Company loan-backed securities are primarily comprised of commercial mortgaged backed securities (CMBS). Portfolio credit risk is mitigated through diversification by property type (office, retail, industrial, etc.), location and maturity. Significant Exposure as of September 0, 0 State Admitted Value Fair Value CA 0,000,000 46,000,000 NY 60,000,000,000,000 Collateral interest consists of stabilized first mortgages on commercial real estate, with contractual cash flows. The Company s management, with the assistance of its investment advisors, monitors the investment performance of its portfolio. This review process culminates with a quarterly review of certain assets by the Company s Investments Under Surveillance Committee that evaluates whether any investments are other than temporarily impaired. The review considers an analysis of individual credit metrics of each insurer as well as industry fundamentals and the outlook for the future. Based on the analysis, a determination is made as to the ability of the issuer to service its debt obligation on an ongoing basis. If this ability is deemed to be impaired, then the appropriate provisions are taken. Note 6 - Joint Ventures, Partnerships and Limited Liability Companies Note 7 - Investment Income Note 8 - Derivative Instruments 7.

10 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY NOTES TO FINANCIAL STATEMENTS Note 9 - Income Taxes The IRS completed its examination of AXA Equitable's 004 and 005 Federal corporate income tax returns and issued its Revenue Agent's Report on August 0, 0. The impact of these completed audits on AXA Equitable's statutory financial statements and unrecognized tax benefits in the third quarter was a tax benefit of $8.6 million. AXA Equitable expects to appeal certain issues to the Appeals Division of the IRS. AXA Equitable holds a reserve for unrecognized tax benefits and believes the reserve is adequate to cover any potential tax liability.. Note 0 - Information Concerning Parent, Subsidiaries, Affiliates and Other Related Parties Note - Debt Note - Retirement Plans, Deferred Compensation, Postemployment Benefits and Compensated Absences and Other Postretirement Benefit Plans In the first nine months of 0, cash contributions to the company qualified pension plans was $665 million. Note - Capital and Surplus, Shareholders Dividend Restrictions and Quasi-Reorganizations There have been no significant changes except as set forth below: The Company paid $79 million of ordinary dividends to its parent, AXA Equitable Financial Services, LLC. in June 0. Note 4 Contingencies A-D. E. Other Contingencies Litigation There have been no new material legal proceedings and no material developments in specific litigations previously reported in the Company s Notes to Financial Statements for the year ended December, 00, except as set forth below: In Eagan, in June 0, the Court granted final approval of the settlement between the parties. In July 0, a lawsuit was filed in the United States District Court of the District of New Jersey, entitled Mary Ann Sivolella v. AXA Equitable Life Insurance Company and AXA Equitable Funds Management Group, LLC ( FMG LLC ). The lawsuit was filed derivatively on behalf of eight funds. The lawsuit seeks recovery under Section 6(b) of the Investment Company Act of 940, as amended (the Investment Company Act ), for alleged excessive fees paid to AXA Equitable and FMG LLC for investment management services. Plaintiff seeks recovery of the alleged overpayments, or alternatively, rescission of the contracts and restitution of all fees paid. In November 0, plaintiff filed an amended complaint, adding claims under Sections 47(b) and 6(f) of the Investment Company Act, as well as a claim for unjust enrichment. In addition, plaintiff purports to file the lawsuit as a class action in addition to a derivative action. In Dennison, in October 0, the Court certified a class of certain RISPE participants who will take or have taken lump sum payments after June 004. Insurance Regulatory Matters AXA Equitable is subject to various statutory and regulatory requirements concerning the payment of death benefits and the reporting and escheatment of unclaimed property, and is subject to audit and examination for compliance with these requirements. AXA Equitable, along with other life insurance industry companies, has been the subject of various inquiries regarding its death claim, escheatment, and unclaimed property procedures and is cooperating with these inquiries. For example, in June 0, the New York State Attorney General s office issued a subpoena to AXA Equitable in connection with its investigation of industry escheatment and unclaimed property procedures. AXA Equitable also has been contacted by a third party auditor acting on behalf of a number of U.S. state jurisdictions reviewing compliance with unclaimed property laws of those jurisdictions. In July 0, AXA Equitable received a request from the New York State Department of Financial Services, Life Bureau, formerly the New York State Insurance Department, (the NYSDFS ) to use data available on the U.S. Social Security Administration s Death Master File or similar database to identify instances where death benefits under life insurance policies, annuities and retained asset accounts are payable, to locate and pay beneficiaries under such contracts, and to report the results of the use of the data. On October, 0, AXA Equitable filed its first stage request results with the NYSDFS. AXA Equitable expects that the audits and related inquiries will result in payment of death benefits, reporting and escheatment of unclaimed death benefits, potential interest on such payments, and changes to AXA Equitable s relevant procedures. 7.

11 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY NOTES TO FINANCIAL STATEMENTS Note 5 - Leases Note 6 - Information About Financial Instruments With Off-Balance Sheet Risk and Financial Instruments With Concentrations of Credit Risk Note 7 - Sale, Transfer and Servicing of Financial Assets and Extinguishments of Liabilities A and B. C. AXA Equitable Life Insurance Company had no wash sales. Note 8 - Gain or Loss to the Reporting Entity from Uninsured Plans and the Uninsured Portion of Partially Insured Plans Note 9 - Direct Premium Written/Produced by Managing General Agents/Third Party Administrators Note 0 - Fair Value 0. Fair Market Measurement Fair Value Measurements at Reporting Date Description Level Level Level Total a. Assets at fair value : Preferred stock Industrial and Misc 0,, ,,56 Parent, Subsidiaries and Affiliates Total Preferred stock 0,, ,,56 Bonds Governments/Agencies Special Revenue/Special Assessment Mortgage Pass Throughs Collateral Mortgage Obligations 0 0,804,6,804,6 Industrial and Misc Hybrid Securities Parent, Subsidiaries and Affiliates Total Bonds 0 0,804,6,804,6 Common Stock Industrial and Misc 54,975 0,76,748,79,7 Parent, Subsidiaries and Affiliates 0 0 5,07,8 5,07,8 Total Common Stock 54, ,8,986 6,898,96 Derivative assets Swaps 0 97,7,7 6,5,499 40,894,86 Futures Options 0 (9,096,94) 0 (9,096,94) Floors 0 57,567, ,567,869 Swaptions 0 9,409,47 0 9,409,47 Total Derivatives 0,659,5,59 6,5,499,665,775,658 Separate account assets 79,87,605,4,5,986,56 6,8,704 8,59,87,7 Total assets at fair value 79,88,5,6 4,885,9,685 89,99,8 85,5,485,9 b. Liabilities at fair value: Derivative liabilities Total Liabilities at fair value

12 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY NOTES TO FINANCIAL STATEMENTS Fair value Measurements in Level of the Fair value Hierarchy Balance as Transfers Transfers Total Gain/Loss of 0/0/0 in Level out Level included in Net Income Total Gain/Loss included in Surplus Purchases/ Sales Issuances & Settlements * Balance as of 09/0/0 CMBS/RMBS 48,88, ,47 (5,855,5) 667,54,804,6 Preferred stock Bonds Bonds-Parent, Subsidiaries and Affiliates Hybrids Stocks,89, ,445 (,596,56),76,748 Stocks-Parent,,08,, (7,00,96) 0 5,07,8 Subsidiaries and Affiliates Separate Account assets 06,965,85 56, ,758,84 (,499,048) 6,8,704 Derivative assets ,5, ,5,499 Total,55,095,590 56, ,5,97 (75,056,955) (,47,86) 89,99,8 * Amount includes $4,678, of Level securities now carried at fair value, where the market value is less than the adjusted cost (carried at adjusted cost in prior period) and $,556,84 of Level securities no longer carried at market value, where the adjusted cost is lower than the market value. Note - Other Items Note - Events Subsequent Note - Reinsurance Note 4 - Retrospectively Rated Contracts & Contracts Subject to Redetermination Note 5 - Change in Incurred Losses and Loss Adjustment Expenses N/A. Note 6 - Intercompany Pooling Arrangements Note 7 - Structured Settlements Note 8 - Health Care Receivables Note 9 - Participating Policies Note 0 - Premium Deficiency Reserves Note - Reserves for Life Contracts and Annuity Contracts 7.4

13 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY NOTES TO FINANCIAL STATEMENTS Note - Analysis of Annuity Actuarial Reserves and Deposit Liabilities by Withdrawal Characteristics Note - Premiums and Annuity Considerations Deferred and Uncollected Note 4 - Separate Accounts Note 5 - Loss/Claim Adjustment Expenses 7.5

14 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY GENERAL INTERROGATORIES PART - COMMON INTERROGATORIES GENERAL. Did the reporting entity experience any material transactions requiring the filing of Disclosure of Material Transactions with the State of Domicile, as required by the Model Act? Yes [ ] No [X]. If yes, has the report been filed with the domiciliary state? Yes [ ] No [ ]. Has any change been made during the year of this statement in the charter, by-laws, articles of incorporation, or deed of settlement of the reporting entity? Yes [ ] No [X]. If yes, date of change:. Have there been any substantial changes in the organizational chart since the prior quarter end? Yes [ ] No [X] If yes, complete the Schedule Y - Part - organizational chart. 4. Has the reporting entity been a party to a merger or consolidation during the period covered by this statement? Yes [ ] No [X] 4. If yes, provide the name of entity, NAIC Company Code, and state of domicile (use two letter state abbreviation) for any entity that has ceased to exist as a result of the merger or consolidation. Name of Entity NAIC Company Code State of Domicile 5. If the reporting entity is subject to a management agreement, including third-party administrator(s), managing general agent(s), attorney-infact, or similar agreement, have there been any significant changes regarding the terms of the agreement or principals involved? Yes [X] No [ ] NA [ ] If yes, attach an explanation. 6. State as of what date the latest financial examination of the reporting entity was made or is being made. //00 6. State the as of date that the latest financial examination report became available from either the state of domicile or the reporting entity. This date should be the date of the examined balance sheet and not the date the report was completed or released. // State as of what date the latest financial examination report became available to other states or the public from either the state of domicile or the reporting entity. This is the release date or completion date of the examination report and not the date of the examination (balance sheet date). 05/9/ By what department or departments? Nevada and New York 6.5 Have all financial statement adjustments within the latest financial examination report been accounted for in a subsequent financial statement filed with Departments? Yes [ ] No [ ] NA [X] 6.6 Have all of the recommendations within the latest financial examination report been complied with? Yes [X] No [ ] NA [ ] 7. Has this reporting entity had any Certificates of Authority, licenses or registrations (including corporate registration, if applicable) suspended or revoked by any governmental entity during the reporting period? Yes [ ] No [X] 7. If yes, give full information: 8. Is the company a subsidiary of a bank holding company regulated by the Federal Reserve Board? Yes [ ] No [X] 8. If response to 8. is yes, please identify the name of the bank holding company. 8. Is the company affiliated with one or more banks, thrifts or securities firms? Yes [X] No [ ] 8.4 If response to 8. is yes, please provide below the names and location (city and state of the main office) of any affiliates regulated by a federal regulatory services agency [i.e. the Federal Reserve Board (FRB), the Office of the Comptroller of the Currency (OCC), the Office of Thrift Supervision (OTS), the Federal Deposit Insurance Corporation (FDIC) and the Securities Exchange Commission (SEC)] and identify the affiliate s primary federal regulator.] Affiliate Name Location (City, State) FRB 4 OCC 5 OTS 6 FDIC 7 SEC Alliance Corporate Finance Group Inc. New York, NY YES AllianceBernstein Corporation New York, NY YES AllianceBernstein Global Derivatives Corporation New York, NY YES AllianceBernstein Holding LP New York, NY YES AllianceBernstein Investments Inc. New York, NY YES AllianceBernstein LP New York, NY YES AXA Advisors LLC New York, NY YES AXA Equitable Funds Management Group, LLC New York, NY YES AXA Distributors LLC New York, NY YES AXA Investment Managers Inc. Greenwich, CT YES AXA Private Equity (US) LLC New York, NY YES AXA Rosenberg Investment Management LLC Orinda, CA YES Sanford C. Bernstein & Co.LLC New York, NY YES 8

15 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY GENERAL INTERROGATORIES 9. Are the senior officers (principal executive officer, principal financial officer, principal accounting officer or controller, or persons performing similar functions) of the reporting entity subject to a code of ethics, which includes the following standards? Yes [X] No [ ] (a) Honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships; (b) Full, fair, accurate, timely and understandable disclosure in the periodic reports required to be filed by the reporting entity; (c) Compliance with applicable governmental laws, rules and regulations; (d) The prompt internal reporting of violations to an appropriate person or persons identified in the code; and (e) Accountability for adherence to the code. 9. If the response to 9. is No, please explain: 9. Has the code of ethics for senior managers been amended? Yes [ ] No [X] 9. If the response to 9. is Yes, provide information related to amendment(s). 9. Have any provisions of the code of ethics been waived for any of the specified officers? Yes [ ] No [X] 9. If the response to 9. is Yes, provide the nature of any waiver(s). FINANCIAL 0. Does the reporting entity report any amounts due from parent, subsidiaries or affiliates on Page of this statement? Yes [X] No [ ] 0. If yes, indicate any amounts receivable from parent included in the Page amount: $ 0 INVESTMENT. Were any of the stocks, bonds, or other assets of the reporting entity loaned, placed under option agreement, or otherwise made available for use by another person? (Exclude securities under securities lending agreements.) Yes [X] No [ ]. If yes, give full and complete information relating thereto: Collateral for open future contracts on OTC derivatives held by broker.. Amount of real estate and mortgages held in other invested assets in Schedule BA: $ 87,849,970. Amount of real estate and mortgages held in short-term investments: $ 0 4. Does the reporting entity have any investments in parent, subsidiaries and affiliates? Yes [X] No [ ] 4. If yes, please complete the following: Prior Year-End Book/Adjusted Carrying Value Current Quarter Book/Adjusted Carrying Value 4. Bonds $,50,000,000 $,50,000, Preferred Stock $ 0 $ 0 4. Common Stock $,08,,64 $ 5,07,8 4.4 Short-Term Investments $ 0 $ Mortgage Loans on Real Estate $ 94,75,408 $ 9,86, All Other $ 4,74,49 $ 75,780, 4.7 Total Investment in Parent, Subsidiaries and Affiliates (Subtotal Lines 4. to 4.6) $,669,588,7 $,070,750, Total Investment in Parent included in Lines 4. to 4.6 above $ 650,000,000 $ 650,000, Has the reporting entity entered into any hedging transactions reported on Schedule DB? Yes [X] No [ ] 5. If yes, has a comprehensive description of the hedging program been made available to the domiciliary state? Yes [X] No [ ] If no, attach a description with this statement. 8.

16 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY GENERAL INTERROGATORIES 6. Excluding items in Schedule E Part Special Deposits, real estate, mortgage loans and investments held physically in the reporting entity s offices, vaults or safety deposit boxes, were all stocks, bonds and other securities, owned throughout the current year held pursuant to a custodial agreement with a qualified bank or trust company in accordance with Section, III Conducting Examinations, F - Custodial or Safekeeping Agreements of the NAIC Financial Condition Examiners Handbook? Yes [X] No [ ] 6. For all agreements that comply with the requirements of the NAIC Financial Condition Examiners Handbook, complete the following: Name of Custodian(s) Custodian Address JPMorgan Chase 70 Park Avenue New York NY 007 Citigroup N.A. 800 Citibank Center Tampa FL For all agreements that do not comply with the requirements of the NAIC Financial Condition Examiners Handbook, provide the name, location and a complete explanation: Name(s) Location(s) Complete Explanation(s) 6. Have there been any changes, including name changes, in the custodian(s) identified in 6. during the current quarter? Yes [ ] No [X] 6.4 If yes, give full and complete information relating thereto: Old Custodian New Custodian Date of Change 4 Reason 6.5 Identify all investment advisors, broker/dealers or individuals acting on behalf of broker/dealers that have access to the investment accounts, handle securities and have authority to make investments on behalf of the reporting entity: Central Registration Depository Name(s) Address 90 Adelante Capital Management 555 th Street, Suite 00 Oakland, CA Edgewood Road NE Cedar Rapids, IA 90 Aegon USA Realty Advisors, LLC Albion Investors, LLC 45 Ave of the Americas New York, NY AllianceBernstein, LP 45 Ave of the Americas New York, NY Hyperion Brookfield Asset Management Inc. WFC, 00 Vesey Street, 0th Floor, NYC, NY Morgan Stanley 44 Peachtree Road NE Suite 800 Atlanta, GA Quadrant Real Estate Advisors 00 Deerfield Point 75 Morris Rd. Suite 00 Alpharetta, GA Have all the filing requirements of the Purposes and Procedures Manual of the NAIC Securities Valuation Office been followed? Yes [X] No [ ] 7. If no, list exceptions: Response to explanation #5: On July, 0, Aegon USA Realty Advisors replaced Rabo Agri-business as AXA-Equitable's agricultural mortgage and real estate third party advisor. During 0, AXA Equitable entered into a third party administration agreement with Marsh US Consumer ("Marsh") to administer AXA Equitable' closed block of major medical health insurance policies. Marsh replaces Kanawha Insurance Company, the previous third party administrator for this business. Marsh subcontracts claims administration services to WEB-TPA Employer Services, LLC ("WEBTPA") but Marsh remains fully responsible for, and legally liable to, AXA Equitable for services provided by WEBTPA. 8.

17 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY GENERAL INTERROGATORIES PART - LIFE & HEALTH. Report the statement value of mortgage loans at the end of this reporting period for the following categories: Amount. Long-Term Mortgages In Good Standing. Farm Mortgages $,46,487,8. Residential Mortgages $ 0. Commercial Mortgages $,8,096,69.4 Total Mortgages in Good Standing $ 4,464,58,65. Long-Term Mortgages In Good Standing with Restructured Terms. Total Mortgages in Good Standing with Restructured Terms $ 0. Long-Term Mortgages Loans upon which Interest is Overdue more than Three Months. Farm Mortgages $ 8,78,70. Residential Mortgages $ 0. Commercial Mortgages $ 0.4 Total Mortgages with Interest Overdue more than Three Months $ 8,78,70.4 Long-Term Mortgages Loans in Process of Foreclosure.4 Farm Mortgages $,44,54.4 Residential Mortgages $ 0.4 Commercial Mortgages $ 0.44 Total Mortgages in Process of Foreclosure $,44,54.5 Total Mortgage Loans (Lines ) (Page, Column, Lines. +.) $ 4,474,744,66.6 Long-Term Mortgages Foreclosed, Properties Transferred to Real Estate in Current Quarter.6 Farm Mortgages $ 0.6 Residential Mortgages $ 0.6 Commercial Mortgages $ 0.64 Total Mortgages Foreclosed and Transferred to Real Estate $ 0. Operating Percentages:. A&H loss percent 74.0 %. A&H cost containment percent 0.0 %. A&H expense percent excluding cost containment expenses 4.5 %. Do you act as a custodian for health savings accounts? Yes [ ] No [X]. If yes, please provide the amount of custodial funds held as of the reporting date. $ 0. Do you act as an administrator for health savings accounts? Yes [ ] No [X].4 If yes, please provide the balance of the funds administered as of the reporting date. $ 0 9

18 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY SCHEDULE S - CEDED REINSURANCE Showing All New Reinsurance Treaties NAIC Company Code Federal ID Number Effective Date Name of Reinsurer Domiciliary Jurisdiction Type of Reinsurance Ceded Is Insurer Authorized? (Yes or No) 0

19 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY SCHEDULE T PREMIUMS AND ANNUITY CONSIDERATIONS Current Year To Date - Allocated by States and Territories Direct Business Only Life Contracts Accident and Health Insurance Premiums, Including Policy, Membership and Other Fees Total Columns Through 5 Active Life Insurance Annuity Other Deposit - Type States, Etc. Status Premiums Considerations Considerations Contracts. Alabama AL L,56,90 47,4,54 80,40 808,047 70,56,9 0. Alaska AK L,57,54 7,56,75 6,44 6,64 8,48, Arizona AZ L,666,48 67,7,8 598,866, 9,64, Arkansas AR L 6,94,64,46,04 07,5 86,99 7,85, California CA L 4,608,76 66,58,9 5,89, 5,605,858 6,65, Colorado CO L 4,455,047 0,855,85 450,778,5,746 7,986, Connecticut CT L 7,678,77 85,698,678,47,06 5,8 4,559, Delaware DE L,9,689,6,77 07,60 80,967,66, District of Columbia DC L 4,64,769,406,878 95, ,7, Florida FL L 47,54, ,96,704 4,8,096,50, ,550,8 0. Georgia GA L 6,44,600 85,04,604,409,7 595,558 4,490, Hawaii HI L 9,08,80 7,088,4 45,955 8,97 6,45,96 0. Idaho ID L,78,89,680,6 47,956 8,697 6,05, Illinois IL L 84,7,805 80,74,78,65,949 6,60 68,5, Indiana IN L,49,59 48,05,09 40,968,04,558 6,7, Iowa IA L 8,06,88 4,6,9 5,7 5,85 4,, Kansas KS L,997,006,55,50 0,7 480,9 47,96, Kentucky KY L 9,64,547,888,99 6,504 67,5,786, Louisiana LA L,80,549 6,0,99 775,077 40,688 49,950, 0 0. Maine ME L,696,99 9,498,04 94,4,76,494,466,04 0. Maryland MD L 8,758,956 07,94,040,08,6 8,4 47,966,55 0. Massachusetts MA L,55,96,580,4 79,484,5 5,760,8 0. Michigan MI L 5,67,45 78,66,,654,5 698,455,56, Minnesota MN L,84,057 85,98,0 7,9,4,8 0,59, Mississippi MS L 0,094,40 0,49,9 5,08 9,70,056, Missouri MO L,96,577 74,498,75 4,89 68,09 98,95, Montana MT L,90,699 4,045,098 5,75 5,76 5,56, Nebraska NE L 5,70,57 0,055,67 80,50 45,784 5,88, Nevada NV L 7,57,00 6,87,78 59,58 94,64 4,698, New Hampshire NH L,90,7 0,465,69 84,7 9,66,58,4, 0. New Jersey NJ L,75,07 54,84,807 5,85,898 5,46,9 659,08,9 0. New Mexico NM L 4,048,975,79,47 7,44,590 6,6,80 0. New York NY L 4,77, ,868,88 7,8,04 84,09,48,80,466, North Carolina NC L 4,055,5 48,474,048 88,7 7,540,47 99,908, North Dakota ND L,8,908,84,07 47,599 6,78 5,79, Ohio OH L,40,697 0,8,768 67,4 989,980 45,086, Oklahoma OK L,50,60 49,69,560 88, 7,64 6,69, Oregon OR L 8,69,476 0,97,058 54,04 06,800 9,60, Pennsylvania PA L 89,667,977 9,49,78 6,040,457 79,94,09 468,069, Rhode Island RI L,484,8,8,4 57,9 487,5 6,67, South Carolina SC L,56,7 54,70,8 64,78 8,9 67,840, South Dakota SD L 6,5,69,7,75 05,696,60,06,, Tennessee TN L 5,890,7 58,45,595,8,48 57,840 85,50, Texas TX L 9,0,880 49,79,08,566,849 6,6,89 450,60, Utah UT L,44,469 57,505,9 40,98 7,80 69,989, Vermont VT L,5,058 4,4,76 4,90 9,6 5,58, Virginia VA L 4,8,76,78,68,69,58 4,9,49 7,666, Washington WA L 8,,6 7,88,769 77,96 67,068 89,866, West Virginia WV L 5,975,080 4,07,59 6,06 7,9 0,80, Wisconsin WI L 7,97,45,564,885 66,9 75,95 50,50, Wyoming WY L 4,64,875 4,400,78 58,0,568,9 0,65, American Samoa AS N Guam GU N 5, , Puerto Rico PR L 9,88,4 6,804,44,40,774 89,7 7,685, US Virgin Islands VI L 55,45 7,50 6, , Northern Mariana Islands MP N 0, , Canada CN L 49,8 48,584 8, , Aggregate Other Alien OT XXX 8,040, ,775 49,588,954 8,945, Subtotal (a) 5.,844,79,8 5,4,8,80 65,868,85 974,54,96 8,8,7, Reporting entity contributions for employee benefit plans XXX ,974 47, Dividends or refunds applied to purchase paid-up additions and annuities XXX,476,67 0,05 0 0,496, Dividends or refunds applied to shorten endowment or premium paying period XXX Premium or annuity considerations waived under disability or other contract provisions XXX 7,94, ,544,48 0,459, Aggregate other amounts not allocable by State XXX Totals (Direct Business) XXX,965,770,95 5,4,40,779 70,4,70 974,590,90 8,54,77, Plus Reinsurance Assumed XXX 4,5,7 6,869,566,44, ,546, Totals (All Business) XXX,07,0,88 5,50,7,45 8,557,65 974,590,90 8,5,74, Less Reinsurance Ceded XXX 87,88,09,595,0 48,57, ,50, Totals (All Business) less Reinsurance Ceded XXX,89,95,49 5,06,677,5,00, ,590,90 7,854,0,95 0 DETAILS OF WRITE-INS 580. Canal Zone XXX 56, , Mexico XXX 95, , Phillippines XXX 6, , Summary of remaining write-ins for Line 58 from overflow page XXX 7,006,50 409,775 49,588,954 7,90, Totals (Lines 580 through ) (Line 58 above) XXX 8,040, ,775 49,588,954 8,945, XXX XXX XXX Summary of remaining write-ins for Line 94 from overflow page XXX Totals (Lines 940 through ) (Line 94 above) XXX (L) Licensed or Chartered - Licensed Insurance Carrier or Domiciled RRG; (R) Registered - Non-domiciled RRGs; (Q) Qualified - Qualified or Accredited Reinsurer; (E) Eligible - Reporting Entities eligible or approved to write Surplus Lines in the state; (N) None of the above - Not allowed to write business in the state. (a) Insert the number of L responses except for Canada and Other Alien.

20 STATEMENT AS OF SEPTEMBER 0, 0 OF THE AXA EQUITABLE LIFE INSURANCE COMPANY SCHEDULE Y - INFORMATION CONCERNING ACTIVITIES OF INSURER MEMBERS OF A HOLDING COMPANY GROUP PART - ORGANIZATIONAL CHART