Form 4 for EQH Equitable Holdings, Inc.
Accepted 2023-12-26 00:00:00 ET · period of report 2023-12-22 · accession 0001209191-23-059688 · 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 | 2023-12-26 | 2023-12-22 | EQH | Lane Nick | (See Remarks) | S - Sale+OE | $33.30 | -10.0K | 164.1K | -6% | -$333.0K |
| D | 2023-12-26 | 2023-12-22 | EQH | Lane Nick | (See Remarks) | M - OptEx | $23.18 | +5,000 | 169.1K | +3% | +$115.9K |
| D | 2023-12-26 | 2023-12-22 | EQH | Lane Nick | (See Remarks) | M - OptEx | $0.00 | -5,000 | 109.4K | -4% | $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 | 2023-12-22 | S | D | 5,000 | $33.30 | 159,132.41 | 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 $33.1000 to $33.6500. 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. |
| 2 | Common | Common Stock | 2023-12-22 | M | A | 5,000 | $23.18 | 169,132.41 | 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) Includes restricted stock units. |
| 3 | Common | Common Stock | 2023-12-22 | S | D | 5,000 | $33.30 | 164,132.41 | 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 $33.1500 to $33.6600. 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 | Derivative | Employee Stock Option (right to buy) | 2023-12-22 | M | D | 5,000 | $0.00 | 109,417 | D | $23.18 · — to 2030-02-26 | 5,000 Common Stock | (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. (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 26, 2020. |