| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EQH | Common Stock | Options Exercise | $115,900 | +5,000 | +3.1% | $23.18 | 166,629 | 18 Dec 2024 | Direct | F1, F2 |
| transaction | EQH | Common Stock | Sale | $241,388 | -5,402 | -3.2% | $44.68 | 161,227 | 18 Dec 2024 | Direct | F1, F2, F3 |
| transaction | EQH | Common Stock | Sale | $252,472 | -5,500 | -3.4% | $45.90 | 155,727 | 18 Dec 2024 | Direct | F1, F2, F4 |
| transaction | EQH | Common Stock | Sale | $422,877 | -9,098 | -5.8% | $46.48 | 146,629 | 18 Dec 2024 | Direct | F1, F2, F5 |
| transaction | EQH | Common Stock | Sale | $63,038 | -1,411 | -0.96% | $44.68 | 145,218 | 18 Dec 2024 | Direct | F1, F2, F6 |
| transaction | EQH | Common Stock | Sale | $58,246 | -1,269 | -0.87% | $45.90 | 143,949 | 18 Dec 2024 | Direct | F1, F2, F7 |
| transaction | EQH | Common Stock | Sale | $107,857 | -2,320 | -1.6% | $46.49 | 141,629 | 18 Dec 2024 | Direct | F1, F2, F8 |
| 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 | -5,000 | -5.9% | $0.000000 | 79,417 | 18 Dec 2024 | Common Stock | 5,000 | $23.18 | Direct | F1, F9 |
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).
| 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 September 18, 2024. |
| F2 | Total includes Restricted Stock Units. |
| F3 | This transaction was executed in multiple trades at prices ranging from $44.3500 to $45.3400. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes toprovide 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 $45.3500 to $46.3400. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes toprovide 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 | This transaction was executed in multiple trades at prices ranging from $46.3500 to $46.7400. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes toprovide 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. |
| F6 | This transaction was executed in multiple trades at prices ranging from $44.3300 to $45.2900. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes toprovide 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 | This transaction was executed in multiple trades at prices ranging from $45.3600 to $46.3500. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes toprovide 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. |
| F8 | This transaction was executed in multiple trades at prices ranging from $46.3600 to $46.7600. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes toprovide 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. |
| F9 | 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. |
Reporting Person's title is: Head of Retirement, Wealth Management & Protection Solutions