Key facts
- This page summarizes Mark Pearson's Form 4 filing for Equitable Holdings, Inc. (EQH).
- 7 reported transactions and 2 derivative rows are listed below.
- Filing timestamp: 02 Feb 2024, 17:00.
Mark Pearson - 01 Feb 2024 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)
- Signature
- /s/ Michael Brudoley as attorney-in-fact for Mark Pearson
- Issuer symbol
- EQH
- Transactions as of
- 01 Feb 2024
- Net transactions value
- -$1,141,005
- Form type
- 4
- Filing time
- 02 Feb 2024, 17:00:12 UTC
- Previous filing
- 03 Jan 2024
- Next filing
- 16 Feb 2024
- SEC
- View on sec.gov
Key filing fact
Mark Pearson filed Form 4 for Equitable Holdings, Inc. (EQH) on 02 Feb 2024.
Change
- Previous filing in this sequence was filed on 03 Jan 2024.
- Current net transaction value: -$1,141,005.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
See Original Filing
Ownership activity is grounded in SEC Form 4 disclosures.
Transactions Table
EQH
transaction
Common Stock
Options Exercise
- Transaction value
- $427,910
- Shares
- +20,052
- Change %
- +3.1%
- Price
- $21.34
- Shares after
- 659,677
- Date
- 01 Feb 2024
- Ownership
- Direct
- Footnotes
- F1, F2
EQH
transaction
Common Stock
Options Exercise
- Transaction value
- $373,826
- Shares
- +19,948
- Change %
- +3%
- Price
- $18.74
- Shares after
- 679,625
- Date
- 01 Feb 2024
- Ownership
- Direct
- Footnotes
- F1, F2
EQH
transaction
Common Stock
Sale
- Transaction value
- $1,282,062
- Shares
- -39,600
- Change %
- -5.8%
- Price
- $32.38
- Shares after
- 640,025
- Date
- 01 Feb 2024
- Ownership
- Direct
- Footnotes
- F1, F2, F3
EQH
transaction
Common Stock
Sale
- Transaction value
- $13,120
- Shares
- -400
- Change %
- -0.06%
- Price
- $32.80
- Shares after
- 639,625
- Date
- 01 Feb 2024
- Ownership
- Direct
- Footnotes
- F1, F2, F4
EQH
transaction
Common Stock
Sale
- Transaction value
- $647,558
- Shares
- -20,000
- Change %
- -3.1%
- Price
- $32.38
- Shares after
- 619,625
- Date
- 01 Feb 2024
- Ownership
- Direct
- Footnotes
- F1, F2, F5
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
EQH
transaction
Derivative
Employee Stock Option (right to buy)
Options Exercise
- Transaction value
- $0
- Shares
- -20,052
- Change %
- -2.9%
- Price
- $0.000000
- Shares after
- 666,348
- Date
- 01 Feb 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 20,052
- Exercise price
- $21.34
- Footnotes
- F6
EQH
transaction
Derivative
Employee Stock Option (right to buy)
Options Exercise
- Transaction value
- $0
- Shares
- -19,948
- Change %
- -3%
- Price
- $0.000000
- Shares after
- 646,400
- Date
- 01 Feb 2024
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 19,948
- Exercise price
- $18.74
- Footnotes
- 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. |