Form 4 for EQH Equitable Holdings, Inc.
Accepted 2022-02-16 00:00:00 ET · period of report 2022-02-14 · accession 0001209191-22-010205 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-02-16 | 2022-02-14 | EQH | Pearson Mark | Pres, CEO, Dir | F - Tax | $33.94 | -164.0K | 435.9K | -27% | -$5.57M |
| D | 2022-02-16 | 2022-02-14 | EQH | Pearson Mark | Pres, CEO, Dir | A - Grant | $0.00 | +276.5K | 588.9K | +89% | $0 |
| D | 2022-02-16 | 2022-02-15 | EQH | Pearson Mark | Pres, CEO, Dir | S - Sale+OE | $34.44 | -30.0K | 425.9K | -7% | -$1.03M |
| D | 2022-02-16 | 2022-02-15 | EQH | Pearson Mark | Pres, CEO, Dir | M - OptEx | $18.74 | +20.0K | 455.9K | +5% | +$374.8K |
| D | 2022-02-16 | 2022-02-15 | EQH | Pearson Mark | Pres, CEO, Dir | M - OptEx | $0.00 | -20.0K | 986.4K | -2% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-02-14 | F | D | 11,113 | $33.94 | 312,315.09 | D | — | — | (F1) Shares withheld to cover taxes upon vesting of previous restricted stock unit grants. (F2) Includes restricted stock units. |
| 2 | Common | Common Stock | 2022-02-14 | A | A | 276,536 | $0.00 | 588,851.09 | D | — | — | (F3) Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2018 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021. (F2) Includes restricted stock units. |
| 3 | Common | Common Stock | 2022-02-15 | S | D | 30,000 | $34.44 | 425,926.09 | D | — | — | (F5) 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 December 15, 2021. (F6) This transaction was executed in multiple trades at prices ranging from $34.0700 to $34.7100. 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. (F2) Includes restricted stock units. |
| 4 | Common | Common Stock | 2022-02-15 | M | A | 20,000 | $18.74 | 455,926.09 | D | — | — | (F5) 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 December 15, 2021. (F2) Includes restricted stock units. |
| 5 | Common | Common Stock | 2022-02-14 | F | D | 152,925 | $33.94 | 435,926.09 | D | — | — | (F4) Shares withheld to cover taxes upon vesting of the performance shares. (F2) Includes restricted stock units. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2022-02-15 | M | D | 20,000 | $0.00 | 986,400 | D | $18.74 · — to 2029-02-14 | 20,000 Common Stock | (F7) Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three annual installments beginning on February 14, 2020. |