Filing Details
- Accession Number:
- 0001209191-21-020172
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-12 16:33:48
- Reporting Period:
- 2021-03-11
- Accepted Time:
- 2021-03-12 16:33:48
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1333986 | Equitable Holdings Inc. | EQH | Insurance Agents, Brokers & Service (6411) | 585512450 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1739394 | S. Dave Hattem | C/O Equitable Holdings, Inc. 1290 Avenue Of The Americas New York NY 10104 | Sevp & Chief Legal Officer | 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 | 2021-03-11 | 142 | $0.00 | 73,155 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2021-03-11 | 6,900 | $31.82 | 66,255 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Restricted Stock Units | Acquisiton | 2021-03-11 | 213 | $0.00 | 213 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 39,980 | No | 4 | A | Direct |
Footnotes
- 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.
- Total includes RSUs.
- This transaction was executed in multiple trades at prices ranging from $31.80 to $31.82. 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.
- 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 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.
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