SEC Form 4 · accession 0001209191-19-011284
Equitable Holdings, Inc. · EQH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth P Bernstein
Officer — See Remarks
Period of report
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 6:13 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 StockF1,F2 | Feb 14, 2019 | A | 13,341 | $0.00 | A | 35,841 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $18.74 | Feb 14, 2019 | A | 65,446 | A | — | Feb 14, 2029 | Common Stock | 65,446 | 65,446 | D |
Explanation of responses
- F1Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus 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 in three equal annual installments beginning on February 14, 2020. Vested shares will be delivered to the reporting person within 30 days following the vesting date.
- F2Includes restricted stock units.
- F3Grant of employee stock option under the AXA Equitable Holdings, Inc. 2018 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three equal annual installments beginning on February 14, 2020.
Remarks
Senior Executive Vice President and Head of Investment Management and Research