Mark Pearson - 29 Nov 2023 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: 29 Nov 2023
Net transactions value: -$2,146,190
Form type: 4
Filing time: 01 Dec 2023, 16:21:42 UTC
Previous filing: 15 Aug 2023
Next filing: 05 Dec 2023
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	$749,600	+40,000	+5.7%	$18.74	737,858	29 Nov 2023	Direct	F1, F2
transaction	EQH	Common Stock	Sale	$1,809,288	-60,000	-8.1%	$30.15	677,858	29 Nov 2023	Direct	F1, F2, F3
transaction	EQH	Common Stock	Options Exercise	$749,600	+40,000	+5.9%	$18.74	717,858	01 Dec 2023	Direct	F1, F2
transaction	EQH	Common Stock	Sale	$1,836,102	-60,000	-8.4%	$30.60	657,858	01 Dec 2023	Direct	F1, F2, 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	Employee Stock Option (right to buy)	Options Exercise	$0	-40,000	-5%	$0.000000	766,400	29 Nov 2023	Common Stock	40,000	$18.74	Direct	F5
transaction	EQH	Employee Stock Option (right to buy)	Options Exercise	$0	-40,000	-5.2%	$0.000000	726,400	01 Dec 2023	Common Stock	40,000	$18.74	Direct	F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

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	Total includes Restricted Stock Units.
F3	This transaction was executed in multiple trades at prices ranging from $30.0000 to $30.3200. 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 $30.3100 to $30.7400. 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 February 14, 2020.