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