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  4. [Form 4] Equitable Holdings, Inc. Insider Trading Activity

Equitable (NYSE: EQH) CEO sells 39,700 shares, exercises 27,200 stock options

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Equitable Holdings, Inc. President and CEO Mark Pearson reported an option exercise and share sale in company stock. He exercised employee stock options covering 27,200 shares of Common Stock at an exercise price of $23.18 per share and sold 39,700 shares in open-market transactions at a weighted average price of $45.285 per share.

After these transactions, he directly owns 765,902.7178 shares of Common Stock, which include Restricted Stock Units and 11,011 shares acquired under the Employee Stock Purchase Plan. The sale and option exercise were carried out under a pre-arranged Rule 10b5-1 trading plan adopted on May 16, 2025.

Positive

  • None.

Negative

  • None.

Insights

CEO executed a planned option exercise and routine-scale stock sale under a Rule 10b5-1 plan.

President and CEO Mark Pearson exercised employee stock options for 27,200 shares at $23.18 per share and sold 39,700 shares of Equitable Holdings Common Stock at a weighted average price of $45.285. The exercise converts a derivative award into outright share ownership before the sale.

The filing shows 765,902.7178 shares held directly after the transactions, including Restricted Stock Units and shares from the Employee Stock Purchase Plan. Relative to this post-transaction stake, the disposition size appears limited, suggesting a liquidity or diversification move rather than a transformational change in exposure.

A key detail is that both the sales and the option exercise were executed pursuant to a Rule 10b5-1 trading plan adopted on May 16, 2025. Such plans pre-schedule trades, which typically makes the timing less informative about the insider’s current view of the stock.

Insider Pearson Mark
Role President and CEO
Sold 39,700 shs ($1.80M)
Type Security Shares Price Value
Exercise Employee Stock Option (right to buy) 27,200 $0.00 --
Exercise Common Stock 27,200 $23.18 $630K
Sale Common Stock 39,700 $45.285 $1.80M
Holdings After Transaction: Employee Stock Option (right to buy) — 27,200 shares (Direct, null); Common Stock — 805,602.718 shares (Direct, null)
Footnotes (1)
  1. The sales reported and options exercised on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2025. Includes Restricted Stock Units and 11,011 shares acquired under the Employee Stock Purchase Plan. This transaction was executed in multiple trades at prices ranging from $45.1000 to $45.6900. 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 affected. Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vested in three installments beginning on February 26, 2021.
Shares sold 39,700 shares Common Stock sold in open market on June 18, 2026
Weighted average sale price $45.285 per share Open-market sales range $45.10–$45.69
Options exercised 27,200 shares Employee stock options converted to Common Stock
Option exercise price $23.18 per share Employee stock option strike price
Shares owned after transactions 765,902.7178 shares Direct Common Stock holdings post-transaction
ESPP shares included 11,011 shares Shares acquired under Employee Stock Purchase Plan
Rule 10b5-1 plan adoption date May 16, 2025 Covers the reported sales and option exercise
Option expiration February 26, 2030 Employee stock option expiration date
Rule 10b5-1 trading plan regulatory
"were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2025"
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
Employee Stock Option financial
"Employee Stock Option (right to buy)"
An employee stock option is a promise that lets a worker buy company shares later at a predetermined price, often after they stay for a certain period or meet performance goals — think of it like a coupon that locks in today's price for a future purchase. It matters to investors because options align employees’ incentives with company performance, can increase the number of shares outstanding (dilution) when exercised, and represent a compensation cost that affects reported profits and shareholder value.
Restricted Stock Units financial
"Includes Restricted Stock Units and 11,011 shares acquired under the Employee Stock Purchase Plan"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Employee Stock Purchase Plan financial
"Includes Restricted Stock Units and 11,011 shares acquired under the Employee Stock Purchase Plan"
An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.
2019 Omnibus Incentive Plan financial
"Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3"
Rule 16b-3 regulatory
"Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3"
Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Pearson Mark
(Last)(First)(Middle)
C/O EQUITABLE HOLDINGS, INC.
1345 AVENUE OF THE AMERICAS
(Street)
NEW YORK NEW YORK 10105
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Equitable Holdings, Inc. [ EQH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
President and CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/18/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock06/18/2026M27,200(1)A$23.18805,602.7178(2)D
Common Stock06/18/2026S39,700(1)D$45.285(3)765,902.7178(2)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Employee Stock Option (right to buy)$23.1806/18/2026M27,200(1) (4)02/26/2030Common Stock27,200$027,200D
Explanation of Responses:
1. The sales reported and options exercised on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 16, 2025.
2. Includes Restricted Stock Units and 11,011 shares acquired under the Employee Stock Purchase Plan.
3. This transaction was executed in multiple trades at prices ranging from $45.1000 to $45.6900. 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 affected.
4. Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vested in three installments beginning on February 26, 2021.
Remarks:
/s/ Stella Lee as attorney-in-fact for Mark Pearson06/22/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What transactions did EQH CEO Mark Pearson report in this Form 4?

Mark Pearson reported an option exercise and a share sale. He exercised employee stock options for 27,200 shares at $23.18 per share and sold 39,700 shares of Equitable Holdings Common Stock in open-market transactions on June 18, 2026.

How many Equitable Holdings (EQH) shares did the CEO sell and at what price?

The CEO sold 39,700 shares of Equitable Holdings Common Stock. These sales were executed in multiple trades with prices ranging from $45.10 to $45.69 per share, resulting in a weighted average sale price of approximately $45.285 per share.

What options did Mark Pearson exercise in the Equitable Holdings (EQH) filing?

Mark Pearson exercised employee stock options covering 27,200 shares of Equitable Holdings Common Stock at an exercise price of $23.18 per share. The options were granted under the company’s 2019 Omnibus Incentive Plan and vested in three installments beginning on February 26, 2021.

How many Equitable Holdings (EQH) shares does the CEO hold after these transactions?

Following the reported transactions, Mark Pearson directly owns 765,902.7178 shares of Equitable Holdings Common Stock. This figure includes Restricted Stock Units and 11,011 shares that were acquired through the company’s Employee Stock Purchase Plan, according to the filing footnotes.

Were the Equitable Holdings (EQH) CEO trades made under a Rule 10b5-1 plan?

Yes. The filing states that both the sales and the option exercise were carried out under a Rule 10b5-1 trading plan adopted by Mark Pearson on May 16, 2025. Such pre-arranged plans schedule trades in advance under predetermined conditions.

What does the price range in the Equitable Holdings (EQH) CEO sale mean?

The sale was executed in multiple trades with prices between $45.10 and $45.69 per share. The reported weighted average price of $45.285 per share reflects the average of those individual trades rather than a single transaction price.