Equitable Holdings, Inc. — Director's Dealing 2020

Feb 28, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Equitable Holdings, Inc. (EQH)
CIK: 0001333986
Period of Report: 2020-02-26

Reporting Person: Brooks Kermitt (Senior EVP)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	9106.83	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Option (right to buy)	$21.34		Common Stock (9491)		Direct
Employee Stock Option (right to buy)	$18.74		Common Stock (13090)		Direct
Performance Restricted Stock Units	$		Common Stock (5769.26)		Direct

Footnotes

F1: Includes restricted stock units.

F2: Grant of employee stock options under the Issuer's omnibus incentive plans. The options vest in three equal annual installments beginning on March 1, 2019.

F3: Grant of employee stock options under the Issuer's omnibus incentive plans. The option vest in three equal annual installments beginning on February 14, 2020.

F4: Grant of performance restricted stock units (PRSUs) under the Issuer's 2018 omnibus equity incentive plan. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.