SETH P. BERNSTEIN - 02 May 2024 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)

Role
Reporting person's title is: Head of Investment Management and Research
Signature
/s/ Jessica Olich as attorney-in-fact for Seth Bernstein
Issuer symbol
EQH
Transactions as of
02 May 2024
Net transactions value
-$3,250,087
Form type
4
Filing time
03 May 2024, 17:00:24 UTC
Previous filing
06 Mar 2024
Next filing
11 Jun 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EQH Common Stock Options Exercise $1,226,458 +65,446 +55% $18.74 183,924 02 May 2024 Direct F1
transaction EQH Common Stock Options Exercise $1,326,105 +57,209 +31% $23.18 241,133 02 May 2024 Direct F1
transaction EQH Common Stock Sale $5,802,650 -152,473 -63% $38.06 88,660 02 May 2024 Direct F1, F2

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 -65,446 -53% $0.000000 57,209 02 May 2024 Common Stock 65,446 $18.74 Direct F3
transaction EQH Employee Stock Option (right to buy) Options Exercise $0 -57,209 -100% $0.000000* 0 02 May 2024 Common Stock 57,209 $23.18 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes Restricted Stock Units.
F2 This transaction was executed in multiple trades at prices ranging from $38.0000 to $38.1400. 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.
F3 Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vested in three installments beginning on February 14, 2020.
F4 Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vested in three installments beginning on February 26, 2021.

Remarks:

Reporting person's title is: Head of Investment Management and Research