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

Equitable (NYSE: EQH) CEO trades shares under Rule 10b5-1 plan

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 an open-market share sale. He exercised employee stock options for 27,200 shares of common stock at an exercise price of $23.18 per share, converting them into common shares.

On the same date, he sold 39,700 common shares in open-market transactions at a weighted average price of $41.6282 per share, under a pre-arranged Rule 10b5-1 trading plan adopted on May 16, 2025. After these transactions, he directly holds about 789,183.2978 common shares and 81,600 employee stock options.

Positive

  • None.

Negative

  • None.
Insider Pearson Mark
Role President and CEO
Sold 39,700 shs ($1.65M)
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 $41.6282 $1.65M
Holdings After Transaction: Employee Stock Option (right to buy) — 81,600 shares (Direct, null); Common Stock — 828,883.298 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 $41.2200 to $42.0700. 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 open-market sale on April 20, 2026
Sale price $41.6282 per share Weighted average sale price for 39,700 shares
Options exercised 27,200 shares Employee stock options converted to common stock
Option exercise price $23.18 per share Exercise price for 27,200 options
Shares held after transactions 789,183.2978 shares Direct common stock holdings after trades
Options held after transactions 81,600 options Employee stock options (right to buy) remaining
Sale price range $41.22–$42.07 per share Range of individual trade prices for sales
Rule 10b5-1 trading plan regulatory
"sales reported and options exercised ... were effected pursuant to a Rule 10b5-1 trading plan"
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.
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.
weighted average sales price financial
"The price reported above reflects the weighted average sales price"
2019 Omnibus Incentive Plan financial
"Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan"
Rule 16b-3 regulatory
"Grant of employee stock option ... 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.
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)
04/20/2026		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 Stock04/20/2026M27,200(1)A$23.18828,883.2978(2)D
Common Stock04/20/2026S39,700(1)D$41.6282(3)789,183.2978(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)$23.1804/20/2026M27,200(1) (4)02/26/2030Common Stock27,200$081,600D
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 $41.2200 to $42.0700. 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 Pearson04/21/2026
** 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 insider transactions did Equitable (EQH) CEO Mark Pearson report?

Mark Pearson reported exercising employee stock options for 27,200 Equitable common shares at $23.18 and selling 39,700 shares at a weighted average price of $41.6282. These transactions were disclosed in a Form 4 insider trading report for Equitable Holdings, Inc.

At what prices did Equitable (EQH) CEO Mark Pearson exercise and sell shares?

Mark Pearson exercised employee stock options at an exercise price of $23.18 per share and sold 39,700 Equitable common shares at a weighted average price of $41.6282 per share. Individual sale trades occurred between $41.22 and $42.07, according to the disclosure.

How many Equitable (EQH) shares does CEO Mark Pearson hold after this Form 4?

After the reported transactions, Mark Pearson directly holds approximately 789,183.2978 Equitable common shares. His holdings include Restricted Stock Units and 11,011 shares acquired under the Employee Stock Purchase Plan, as noted in the filing's footnotes describing his post-transaction equity position.

Were Mark Pearson’s Equitable (EQH) share sales made under a 10b5-1 plan?

Yes. The filing states the sales and option exercises were effected under a Rule 10b5-1 trading plan adopted by Mark Pearson on May 16, 2025. Such plans are pre-arranged programs that schedule trades in advance, helping separate them from day-to-day market timing decisions.

What employee stock options does Equitable (EQH) CEO Mark Pearson retain?

Following the option exercise reported, Mark Pearson holds 81,600 employee stock options with a right to buy Equitable common stock. The exercised 27,200 options were originally granted under Equitable’s 2019 Omnibus Incentive Plan and vested in three installments beginning February 26, 2021.

What does the weighted average sales price mean in Mark Pearson’s Equitable (EQH) Form 4?

The weighted average sales price of $41.6282 reflects multiple trades executed between $41.22 and $42.07. The filing notes that Mark Pearson will provide full trade-level detail, including exact share amounts and prices per trade, to the SEC staff, issuer, or shareholders upon request.