0001209191-23-057069.txt : 20231201 0001209191-23-057069.hdr.sgml : 20231201 20231201162142 ACCESSION NUMBER: 0001209191-23-057069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231129 FILED AS OF DATE: 20231201 DATE AS OF CHANGE: 20231201 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: 231459830 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 X0508 4 2023-11-29 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 0 Common Stock 2023-11-29 4 M 0 40000 18.74 A 737857.58 D Common Stock 2023-11-29 4 S 0 60000 30.1548 D 677857.58 D Common Stock 2023-12-01 4 M 0 40000 18.74 A 717857.58 D Common Stock 2023-12-01 4 S 0 60000 30.6017 D 657857.58 D Employee Stock Option (right to buy) 18.74 2023-11-29 4 M 0 40000 0.00 D 2029-02-14 Common Stock 40000 766400 D Employee Stock Option (right to buy) 18.74 2023-12-01 4 M 0 40000 0.00 D 2029-02-14 Common Stock 40000 726400 D 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. Total includes Restricted Stock Units. 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. 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. 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. /s/ Jessica Olich as attorney-in-fact for Mark Pearson 2023-12-01