0001209191-22-010205.txt : 20220216 0001209191-22-010205.hdr.sgml : 20220216 20220216163029 ACCESSION NUMBER: 0001209191-22-010205 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220214 FILED AS OF DATE: 20220216 DATE AS OF CHANGE: 20220216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pearson Mark CENTRAL INDEX KEY: 0001512442 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38469 FILM NUMBER: 22643968 MAIL ADDRESS: STREET 1: C/O ALLIANCEBERNSTEIN L.P. STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Equitable Holdings, Inc. CENTRAL INDEX KEY: 0001333986 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 585512450 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 BUSINESS PHONE: (212) 554-1234 MAIL ADDRESS: STREET 1: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 FORMER COMPANY: FORMER CONFORMED NAME: AXA Equitable Holdings, Inc. DATE OF NAME CHANGE: 20171107 FORMER COMPANY: FORMER CONFORMED NAME: AXA AMERICA HOLDINGS, INC. DATE OF NAME CHANGE: 20050722 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-02-14 0 0001333986 Equitable Holdings, Inc. EQH 0001512442 Pearson Mark C/O EQUITABLE HOLDINGS, INC. 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 1 1 0 0 President and CEO Common Stock 2022-02-14 4 F 0 11113 33.94 D 312315.09 D Common Stock 2022-02-14 4 A 0 276536 0.00 A 588851.09 D Common Stock 2022-02-14 4 F 0 152925 33.94 D 435926.09 D Common Stock 2022-02-15 4 M 0 20000 18.74 A 455926.09 D Common Stock 2022-02-15 4 S 0 30000 34.4431 D 425926.09 D Employee Stock Option (right to buy) 18.74 2022-02-15 4 M 0 20000 0.00 D 2029-02-14 Common Stock 20000 986400 D Shares withheld to cover taxes upon vesting of previous restricted stock unit grants. Includes restricted stock units. Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2018 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021. Shares withheld to cover taxes upon vesting of the performance shares. 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 December 15, 2021. This transaction was executed in multiple trades at prices ranging from $34.0700 to $34.7100. 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. Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three annual installments beginning on February 14, 2020. /s/ Ralph Petruzzo as attorney-in-fact for Mark Pearson 2022-02-16