| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EQH | Common Stock | Options Exercise | $116K | +5K | +3.09% | $23.18 | 167K | Dec 18, 2024 | Direct | F1, F2 |
| transaction | EQH | Common Stock | Sale | -$241K | -5.4K | -3.24% | $44.69 | 161K | Dec 18, 2024 | Direct | F1, F2, F3 |
| transaction | EQH | Common Stock | Sale | -$252K | -5.5K | -3.41% | $45.90 | 156K | Dec 18, 2024 | Direct | F1, F2, F4 |
| transaction | EQH | Common Stock | Sale | -$423K | -9.1K | -5.84% | $46.48 | 147K | Dec 18, 2024 | Direct | F1, F2, F5 |
| transaction | EQH | Common Stock | Sale | -$63K | -1.41K | -0.96% | $44.68 | 145K | Dec 18, 2024 | Direct | F1, F2, F6 |
| transaction | EQH | Common Stock | Sale | -$58.2K | -1.27K | -0.87% | $45.90 | 144K | Dec 18, 2024 | Direct | F1, F2, F7 |
| transaction | EQH | Common Stock | Sale | -$108K | -2.32K | -1.61% | $46.49 | 142K | Dec 18, 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 | -5K | -5.92% | $0.00 | 79.4K | Dec 18, 2024 | Common Stock | 5K | $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