Mark Pearson - 01 Mar 2024 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)

Role: President and CEO, Director
Signature: /s/ Jessica Olich as attorney-in-fact for Mark Pearson
Issuer symbol: EQH
Transactions as of: 01 Mar 2024
Net transaction value: -$1,172,568
Form type: 4
Filing time: 04 Mar 2024, 17:22:59 UTC
Previous filing: 01 Mar 2024
Next filing: 06 Mar 2024
SEC filing: View on sec.gov

Key filing fact

Mark Pearson filed Form 4 for Equitable Holdings, Inc. (EQH) on 04 Mar 2024.

Key facts

This page summarizes Mark Pearson's Form 4 filing for Equitable Holdings, Inc. (EQH).
4 reported transactions and 1 derivative row are listed below.
Filing timestamp: 04 Mar 2024, 17:22.

Change

Previous filing in this sequence was filed on 01 Mar 2024.
Current net transaction value: -$1,172,568.

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

Ownership activity is grounded in SEC Form 4 disclosures.

See Original Filing

Reported transactions

EQH transaction

Common Stock

Options Exercise

Transaction value: $853,600
Shares: +40,000
Change %: +5.5%
Price: $21.34
Shares after: 763,254
Date: 01 Mar 2024
Ownership: Direct
Footnotes: F1, F2

EQH transaction

Common Stock

Sale

Transaction value: $1,350,768
Shares: -40,000
Change %: -5.2%
Price: $33.77
Shares after: 723,254
Date: 01 Mar 2024
Ownership: Direct
Footnotes: F1, F2, F3

EQH transaction

Common Stock

Sale

Transaction value: $675,400
Shares: -20,000
Change %: -2.8%
Price: $33.77
Shares after: 703,254
Date: 01 Mar 2024
Ownership: Direct
Footnotes: F1, F2, F4

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: -40,000
Change %: -6.2%
Price: $0.000000
Shares after: 606,400
Date: 01 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 40,000
Exercise price: $21.34
Footnotes: F1, F5

^* indicates a reported price that failed the local validity check.

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	Includes Restricted Stock Units.
F3	This transaction was executed in multiple trades at prices ranging from $33.4700 to $34.2400. 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 $33.5100 to $34.2400. 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	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 March 1, 2019.