Form 4 for EQH Equitable Holdings, Inc.
Accepted 2023-12-01 00:00:00 ET · period of report 2023-11-29 · accession 0001209191-23-057069 · 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 | 2023-12-01 | 2023-11-29+ | EQH | Pearson Mark | Pres, CEO, Dir | S - Sale+OE | $30.38 | -120.0K | 657.9K | -15% | -$3.65M |
| DM | 2023-12-01 | 2023-11-29+ | EQH | Pearson Mark | Pres, CEO, Dir | M - OptEx | $18.74 | +80.0K | 717.9K | +13% | +$1.50M |
| DM | 2023-12-01 | 2023-11-29+ | EQH | Pearson Mark | Pres, CEO, Dir | M - OptEx | $0.00 | -80.0K | 726.4K | -10% | $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 | 2023-11-29 | S | D | 60,000 | $30.15 | 677,857.58 | D | — | — | (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. (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. (F2) Total includes Restricted Stock Units. |
| 2 | Common | Common Stock | 2023-11-29 | M | A | 40,000 | $18.74 | 737,857.58 | D | — | — | (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. |
| 3 | Common | Common Stock | 2023-12-01 | M | A | 40,000 | $18.74 | 717,857.58 | D | — | — | (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. |
| 4 | Common | Common Stock | 2023-12-01 | S | D | 60,000 | $30.60 | 657,857.58 | D | — | — | (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. (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. (F2) Total includes Restricted Stock Units. |
| 5 | Derivative | Employee Stock Option (right to buy) | 2023-11-29 | M | D | 40,000 | $0.00 | 766,400 | D | $18.74 · — to 2029-02-14 | 40,000 Common Stock | (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. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2023-12-01 | M | D | 40,000 | $0.00 | 726,400 | D | $18.74 · — to 2029-02-14 | 40,000 Common Stock | (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. |