Equitable Holdings, Inc. — Director's Dealing 2020

Feb 14, 2020

SEC Form 5 — Annual Statement of Changes in Beneficial Ownership

Issuer: Equitable Holdings, Inc. (EQH)
CIK: 0001333986
Period of Report: 2019-12-31

Reporting Person: Malmstrom Anders (Senior EVP & CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-08-30	Common Stock	A	306.9	$0.00	Acquired	80617.9	Direct
2018-11-14	Common Stock	F	9902.57	$20.90	Disposed	70715.34	Direct
2018-12-03	Common Stock	A	236.25	$0.00	Acquired	70951.58	Direct
2019-03-01	Common Stock	F	2202.64	$20.20	Disposed	68748.94	Direct
2019-03-15	Common Stock	A	340.74	$0.00	Acquired	69089.68	Direct
2019-05-10	Common Stock	F	5014.96	$22.20	Disposed	64074.72	Direct
2019-06-11	Common Stock	A	318.49	$0.00	Acquired	64393.21	Direct
2019-08-29	Common Stock	A	332.24	$0.00	Acquired	64725.45	Direct
2019-11-25	Common Stock	A	280.15	$0.00	Acquired	65005.6	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-08-30	Performance Restricted Stock Units	$	A	209.13	Acquired		Common Stock (209.13)	Direct
2018-12-03	Performance Restricted Stock Units	$	A	244.18	Acquired		Common Stock (244.18)	Direct
2019-03-15	Performance Restricted Stock Units	$	A	234.53	Acquired		Common Stock (234.53)	Direct
2019-06-11	Performance Restricted Stock Units	$	A	264.79	Acquired		Common Stock (264.79)	Direct
2019-08-29	Performance Restricted Stock Units	$	A	276.22	Acquired		Common Stock (276.22)	Direct
2019-11-25	Performance Restricted Stock Units	$	A	232.91	Acquired		Common Stock (232.91)	Direct

Footnotes

F1: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2: Total includes RSUs.

F3: Shares withheld to cover taxes upon vesting of previous RSU grants.

F4: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to 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. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.