Mark Pearson - 13 Feb 2025 Form 4 Insider Report for Equitable Holdings, Inc. (EQH)

Role
President and CEO, Director
Signature
/s/ Michael Brudoley as attorney-in-fact for Mark Pearson
Issuer symbol
EQH
Transactions as of
13 Feb 2025
Net transactions value
-$1,193,654
Form type
4
Filing time
18 Feb 2025, 17:36:24 UTC
Previous filing
16 Jan 2025
Next filing
04 Mar 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EQH Common Stock Award $0 +94,524 +15% $0.000000 724,463 13 Feb 2025 Direct F1, F2
transaction EQH Common Stock Options Exercise $463,600 +20,000 +2.8% $23.18 744,463 14 Feb 2025 Direct F2, F3
transaction EQH Common Stock Sale $32,397 -600 -0.08% $53.99 743,863 14 Feb 2025 Direct F2, F3, F4
transaction EQH Common Stock Sale $1,066,908 -19,300 -2.6% $55.28 724,563 14 Feb 2025 Direct F2, F3, F5
transaction EQH Common Stock Sale $5,578 -100 -0.01% $55.78 724,463 14 Feb 2025 Direct F2, F3
transaction EQH Common Stock Sale $23,250 -429 -0.06% $54.20 724,034 14 Feb 2025 Direct F2, F3, F6
transaction EQH Common Stock Sale $529,122 -9,571 -1.3% $55.28 714,463 14 Feb 2025 Direct F2, F3, F7

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 -20,000 -4.5% $0.000000 426,400 14 Feb 2025 Common Stock 20,000 $23.18 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

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).

Explanation of Responses:

Id Content
F1 Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28, 2026. Vested shares will be delivered to the reporting person within 30 days following the vesting date.
F2 Total includes Restricted Stock Units.
F3 The sales reported and options exercised on this Form 4 were effected pursuany to a 10b5-1 trading plan adopted by the reporting person on May 30, 2024.
F4 This transaction was executed in multiple trades at prices ranging from $53.7450 to $54.7300. 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 This transaction was executed in multiple trades at prices ranging from $54.7600 to $55.7500. 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.
F6 This transaction was executed in multiple trades at prices ranging from $53.8500 to $54.8200. 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.
F7 This transaction was executed in multiple trades at prices ranging from $54.8800 to $55.7500. 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.
F8 Grant of employee stock option uncer the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vested in three installments beginning on February 26, 2021.