| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EQH | Common Stock | Options Exercise | $115,900 | +5,000 | +3.6% | $23.18 | 144,073 | 14 Mar 2025 | Direct | F1, F2 |
| transaction | EQH | Common Stock | Sale | $166,741 | -3,269 | -2.3% | $51.01 | 140,804 | 14 Mar 2025 | Direct | F1, F2, F3 |
| transaction | EQH | Common Stock | Sale | $88,862 | -1,731 | -1.2% | $51.34 | 139,073 | 14 Mar 2025 | Direct | F1, F2, F4 |
| 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 | -7.2% | $0.000000 | 64,417 | 14 Mar 2025 | Common Stock | 5,000 | $23.18 | Direct | F1, F5 |
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 $50.2800 to $51.2700. The price reported above reflects the weighted average purchase 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 $51.2900 to $51.4200. 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 | 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