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Role
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President and CEO, Director
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Signature
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/s/ Jessica Olich as attorney-in-fact for Mark Pearson
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Stock symbol
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EQH
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Transactions as of
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Apr 15, 2024
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Transactions value $
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-$660,320
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Form type
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4
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Date filed
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4/16/2024, 05:00 PM
Transactions Table
Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
Price $ |
Shares After |
Date |
Ownership |
Footnotes |
transaction |
EQH |
Common Stock |
+Options Exercise |
$426,800 |
+20,000 |
+2.88% |
$21.34 |
715,025 |
Apr 15, 2024 |
Direct |
F1, F2 |
transaction |
EQH |
Common Stock |
-Sell |
-$569,675 |
-15,800 |
-2.21% |
$36.06 |
699,225 |
Apr 15, 2024 |
Direct |
F1, F2, F3 |
transaction |
EQH |
Common Stock |
-Sell |
-$155,035 |
-4,200 |
-0.6% |
$36.91 |
695,025 |
Apr 15, 2024 |
Direct |
F1, F2, F4 |
transaction |
EQH |
Common Stock |
-Sell |
-$290,243 |
-8,046 |
-1.16% |
$36.07 |
686,979 |
Apr 15, 2024 |
Direct |
F1, F2, F5 |
transaction |
EQH |
Common Stock |
-Sell |
-$72,167 |
-1,954 |
-0.28% |
$36.93 |
685,025 |
Apr 15, 2024 |
Direct |
F2, F6 |
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
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 |
-20,000 |
-3.41% |
$0.00 |
566,400 |
Apr 15, 2024 |
Common Stock |
20,000 |
$21.34 |
Direct |
F1, F7 |
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: