| Type | Sym | Class | Transaction | Value $ | Shares | Change % | Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EQH | Common Stock | Tax liability | -$494 K | -14.5 K | -8.25% | $34.18 | 161 K | Feb 28, 2024 | Direct | F1, F2 |
| transaction | EQH | Common Stock | Award | $0 | +19.9 K | +12.39% | $0.00 | 181 K | Feb 28, 2024 | Direct | F2, F3 |
| transaction | EQH | Common Stock | Tax liability | -$348 K | -10.2 K | -5.63% | $34.18 | 171 K | Feb 28, 2024 | Direct | F2, F4 |
| transaction | EQH | Common Stock | Sale | -$342 K | -9.97 K | -5.84% | $34.28 | 161 K | Feb 29, 2024 | Direct | F2, F5, F6 |
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 | Shares withheld to cover taxes upon vesting of previous Restricted Stock Unit grants. |
| F2 | Total includes Restricted Stock Units. |
| F3 | Reflects the vesting of Performance Shares, which were granted pursuant to the registrant's 2019 Omnibus Incentive Plan. The Performance Shares were earned upon the attainment of certain performance objectives for the period January 1, 2021 through December 31, 2023. |
| F4 | Shares withheld to cover taxes upon vesting of Performance Shares. |
| F5 | The sale reported exercised on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 17, 2023. |
| F6 | This transaction was executed in multiple trades at prices ranging from $34.1000 to $34.4400. The price reported above reflects the weighted average sale 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. |