SEC Form 4 · accession 0001209191-19-007261

Equitable Holdings, Inc. · EQH

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — (See Remarks)

Period of report

Feb 1, 2019

Accepted (ET)

Feb 5, 2019 · 3:11 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001333986

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Feb 1, 2019	A	19,979	$0.00	A	19,979	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Performance Restricted Stock Units^F2	—	Feb 1, 2019	A	19,978	A	—	—	Common Stock	19,978	19,978	D

F1Grant 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 first anniversary of the grant date and 50% on the second anniversary of the grant date. Vested shares will be delivered to the reporting person within 30 days following the vesting date.
F2Grant 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 10, 2020, or (ii) if the PRSUs have not vested by May 10, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 10, 2023. If the PRSUs have not otherwise vested by May 10, 2023, 50% of the PRSUs will vest on May 10, 2023.

Senior Executive Vice President and Head of U.S. Life, Retirement and Wealth Management