Filing Details

Accession Number:
0001209191-18-029604
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-11 16:49:08
Reporting Period:
2018-05-09
Accepted Time:
2018-05-11 16:49:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1333986 Axa Equitable Holdings Inc. EQH Insurance Agents, Brokers & Service (6411) 585512450
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1705476 Anders Malmstrom C/o Axa Equitable Holdings, Inc.
1290 Avenue Of The Americas
New York NY 10104
Senior Evp & Cfo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-05-09 37,000 $0.00 37,000 No 4 A Direct
Common Stock Acquisiton 2018-05-10 2,000 $20.00 39,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Performance Restricted Stock Units Acquisiton 2018-05-09 37,000 $0.00 37,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
37,000 No 4 A Direct
Footnotes
  1. Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest according to the following schedule: 50% vest on the six-month anniversary of the closing of the initial public offering of the Issuer's common stock (the "Transaction Date"), 25% on the one-year anniversary of the Transaction Date and 25% on the two-year anniversary of the Transaction Date. Vested shares will be delivered to the reporting person within 30 days following the vesting date.
  2. Includes restricted stock units.
  3. Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. 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.