Seth Bernstein - Mar 22, 2021 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)

Role
Head of Investment Management and Research
Signature
Jessica Olich as attorney-in-fact for Seth Bernstein
Stock symbol
EQH
Transactions as of
Mar 22, 2021
Transactions value $
$0
Form type
4
Date filed
6/14/2023, 05:00 PM
Next filing
Jun 8, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EQH Common Stock Options Exercise $0 +20K +23.24% $0.00 106K Mar 22, 2021 Direct F1, F2, F3
transaction EQH Common Stock Award $0 +188 +0.18% $0.00 106K Jun 12, 2023 Direct F3, F4

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 Performance Restricted Stock Units Options Exercise $0 -20K -100% $0.00* 0 Mar 22, 2021 Common Stock 20K Direct F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction is reported late owing to an administrative error.
F2 Reflects the conversion of previously granted Performance Restricted Stock Units ("PRSUs") into shares of the Issuer's common stock in connection with the vesting of the units based on underlying performance metrics.
F3 Includes Restricted Stock Units ("RSUs").
F4 Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's 2019 incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.
F5 Each Performance Restricted Stock Unit represents a contingent right to receive one share of Issuer's common stock.
F6 Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

Remarks:

Head of Investment Management and Research