0001209191-21-020172.txt : 20210312 0001209191-21-020172.hdr.sgml : 20210312 20210312163348 ACCESSION NUMBER: 0001209191-21-020172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210311 FILED AS OF DATE: 20210312 DATE AS OF CHANGE: 20210312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hattem Dave S. CENTRAL INDEX KEY: 0001739394 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38469 FILM NUMBER: 21737927 MAIL ADDRESS: STREET 1: C/O EQUITABLE HOLDINGS, INC. STREET 2: 1290 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10104 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 2021-03-11 0 0001333986 Equitable Holdings, Inc. EQH 0001739394 Hattem Dave S. C/O EQUITABLE HOLDINGS, INC. 1290 AVENUE OF THE AMERICAS NEW YORK NY 10104 0 1 0 0 SEVP & Chief Legal Officer Common Stock 2021-03-11 4 A 0 141.71 0.00 A 73154.68 D Common Stock 2021-03-11 4 S 0 6900 31.8162 D 66254.68 D Performance Restricted Stock Units 2021-03-11 4 A 0 212.6 0.00 A Common Stock 212.6 39980.45 D 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. /s/ Ralph Petruzzo as attorney-in-fact for Dave S. Hattem 2021-03-12