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
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 $750K +40K +5.73% $18.74 738K 29 Nov 2023 Direct F1, F2
transaction EQH Common Stock Sale -$1.81M -60K -8.13% $30.15 678K 29 Nov 2023 Direct F1, F2, F3
transaction EQH Common Stock Options Exercise $750K +40K +5.9% $18.74 718K 01 Dec 2023 Direct F1, F2
transaction EQH Common Stock Sale -$1.84M -60K -8.36% $30.60 658K 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 -40K -4.96% $0.00 766K 29 Nov 2023 Common Stock 40K $18.74 Direct F5
transaction EQH Employee Stock Option (right to buy) Options Exercise $0 -40K -5.22% $0.00 726K 01 Dec 2023 Common Stock 40K $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.