Mark Pearson - Feb 1, 2024 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)

Role
President and CEO, Director
Signature
/s/ Michael Brudoley as attorney-in-fact for Mark Pearson
Stock symbol
EQH
Transactions as of
Feb 1, 2024
Transactions value $
-$1,141,005
Form type
4
Date filed
2/2/2024, 05:00 PM
Previous filing
Jan 3, 2024
Next filing
Feb 16, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EQH Common Stock Options Exercise $428K +20.1K +3.13% $21.34 660K Feb 1, 2024 Direct F1, F2
transaction EQH Common Stock Options Exercise $374K +19.9K +3.02% $18.74 680K Feb 1, 2024 Direct F1, F2
transaction EQH Common Stock Sale -$1.28M -39.6K -5.83% $32.38 640K Feb 1, 2024 Direct F1, F2, F3
transaction EQH Common Stock Sale -$13.1K -400 -0.06% $32.80 640K Feb 1, 2024 Direct F1, F2, F4
transaction EQH Common Stock Sale -$648K -20K -3.13% $32.38 620K Feb 1, 2024 Direct F1, F2, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction EQH Employee Stock Option (right to buy) Options Exercise $0 -20.1K -2.92% $0.00 666K Feb 1, 2024 Common Stock 20.1K $21.34 Direct F6
transaction EQH Employee Stock Option (right to buy) Options Exercise $0 -19.9K -2.99% $0.00 646K Feb 1, 2024 Common Stock 19.9K $18.74 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sales reported and options exercised on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2023.
F2 Total includes Restricted Stock Units.
F3 This transaction was executed in multiple trades at prices ranging from $31.7700 to $32.7600. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4 This transaction was executed in multiple trades at prices ranging from $32.7900 to $32.8100. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F5 This transaction was executed in multiple trades at prices ranging from $31.7800 to $32.7400. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F6 Grant of employee stock option under the Issuer's 2018 Omnibus Incentive Plan exempt under Rule 16b-3. The options vest/vested in three installments beginning on March 1, 2019.
F7 Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vest/vested in three installments beginning on February 14, 2020.