| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EQH | Common Stock | Award | $0 | +32K | +22.18% | $0.00 | 176K | Feb 14, 2024 | Direct | F1, F2 |
| transaction | EQH | Common Stock | Options Exercise | $232K | +10K | +5.68% | $23.18 | 186K | Feb 15, 2024 | Direct | F2, F3 |
| transaction | EQH | Common Stock | Sale | -$343K | -10K | -5.37% | $34.27 | 176K | Feb 15, 2024 | Direct | F2, F3, F4 |
| transaction | EQH | Common Stock | Sale | -$343K | -10K | -5.68% | $34.27 | 166K | Feb 15, 2024 | Direct | F2, F3, F4 |
| 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 | -10.59% | $0.00 | 84.4K | Feb 15, 2024 | Common Stock | 10K | $23.18 | Direct | F3, F5 |
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 | Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28, 2025. Vested shares will be delivered to the reporting person within 30 days following the vesting date. |
| F2 | Total includes Restricted Stock Units. |
| F3 | 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. |
| F4 | This transaction was executed in multiple trades at prices ranging from $34.0000 to $34.8000. 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. |
| F5 | 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