| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EQH | Common Stock | Options Exercise | $232K | +10K | +6.49% | $23.18 | 164K | Feb 7, 2024 | Direct | F1, F2 |
| transaction | EQH | Common Stock | Sale | -$340K | -10K | -6.09% | $34.02 | 154K | Feb 7, 2024 | Direct | F1, F2, F3 |
| transaction | EQH | Common Stock | Sale | -$340K | -10K | -6.49% | $34.01 | 144K | Feb 7, 2024 | Direct | F1, F2, F3 |
| 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 | -10K | -9.58% | $0.00 | 94.4K | Feb 7, 2024 | Common Stock | 10K | $23.18 | Direct | F1, F4 |
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).
| 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 September 22, 2023. |
| F2 | Includes Restricted Stock Units. |
| F3 | This transaction was executed in multiple trades at prices ranging from $34.0000 to $34.0600. The price reported above reflects the weighted average purchase 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 | 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 26, 2020. |
Reporting Person's title is: Head of Retirement, Wealth Management & Protection Solutions