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Equitable Holdings, Inc. — Director's Dealing 2023
Dec 1, 2023
30390_dirs_2023-12-01_048f8981-67c9-4400-8ebd-762ca817146c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Equitable Holdings, Inc. (EQH)
CIK: 0001333986
Period of Report: 2023-11-29
Reporting Person: Pearson Mark (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-11-29 | Common Stock | M | 40000 | $18.74 | Acquired | 737857.58 | Direct |
| 2023-11-29 | Common Stock | S | 60000 | $30.1548 | Disposed | 677857.58 | Direct |
| 2023-12-01 | Common Stock | M | 40000 | $18.74 | Acquired | 717857.58 | Direct |
| 2023-12-01 | Common Stock | S | 60000 | $30.6017 | Disposed | 657857.58 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-11-29 | Employee Stock Option (right to buy) | $18.74 | M | 40000 | Disposed | 2029-02-14 | Common Stock (40000) | Direct |
| 2023-12-01 | Employee Stock Option (right to buy) | $18.74 | M | 40000 | Disposed | 2029-02-14 | Common Stock (40000) | Direct |
Footnotes
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.
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.
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.
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.