Mark Pearson - Feb 14, 2022 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)

Role
President and CEO, Director
Signature
/s/ Ralph Petruzzo as attorney-in-fact for Mark Pearson
Stock symbol
EQH
Transactions as of
Feb 14, 2022
Transactions value $
-$6,225,943
Form type
4
Date filed
2/16/2022, 03:30 PM
Previous filing
Jan 20, 2022
Next filing
Feb 18, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EQH Common Stock Tax liability -$377K -11.1K -3.44% $33.94 312K Feb 14, 2022 Direct F1, F2
transaction EQH Common Stock Award $0 +277K +88.54% $0.00 589K Feb 14, 2022 Direct F2, F3
transaction EQH Common Stock Tax liability -$5.19M -153K -25.97% $33.94 436K Feb 14, 2022 Direct F2, F4
transaction EQH Common Stock Options Exercise $375K +20K +4.59% $18.74 456K Feb 15, 2022 Direct F2, F5
transaction EQH Common Stock Sale -$1.03M -30K -6.58% $34.44 426K Feb 15, 2022 Direct F2, F5, 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 -20K -1.99% $0.00 986K Feb 15, 2022 Common Stock 20K $18.74 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.
F2 Includes restricted stock units.
F3 Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2018 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021.
F4 Shares withheld to cover taxes upon vesting of the performance shares.
F5 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 December 15, 2021.
F6 This transaction was executed in multiple trades at prices ranging from $34.0700 to $34.7100. 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.
F7 Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three annual installments beginning on February 14, 2020.