Pearson Mark's Form 4 filing
Equitable Holdings, Inc.EQH · filed Feb 2, 2024
- Accession no.
- 0000950170-24-010589
- Filed
- Feb 2, 2024
- Trade date
- Feb 1, 2024
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Checked
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.94M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Pearson MarkCIK 0001512442 | Director, Officer (President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 1, 2024 | Common Stock | MOption exerciseAcquired | +20,052 | $21.34 | +$427,909.68 | 659,677.38 | Direct | |
| Feb 1, 2024 | Common Stock | MOption exerciseAcquired | +19,948 | $18.74 | +$373,825.52 | 679,625.38 | Direct | |
| Feb 1, 2024 | Common Stock | SSaleDisposed | −39,600 | $32.38F3 | −$1,282,248 | 640,025.38 | Direct | |
| Feb 1, 2024 | Common Stock | SSaleDisposed | −400 | $32.80F4 | −$13,120 | 639,625.38 | Direct | |
| Feb 1, 2024 | Common Stock | SSaleDisposed | −20,000 | $32.38F5 | −$647,600 | 619,625.38 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 1, 2024 | Common Stock | MOption exerciseDisposed | −20,052 | $0.00 | $0 | 666,348 | Direct | |
| Feb 1, 2024 | Common Stock | MOption exerciseDisposed | −19,948 | $0.00 | $0 | 646,400 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
This transaction was executed in multiple trades at prices ranging from $31.7700 to $32.7600. The price reported above reflects the weighted average sales 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.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $32.7900 to $32.8100. The price reported above reflects the weighted average sales 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.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction was executed in multiple trades at prices ranging from $31.7800 to $32.7400. The price reported above reflects the weighted average sales 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.
Referenced by the price of 1 transaction in Table I.