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

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

Rhea-AI Filing Summary

Equitable Holdings, Inc. insider activity: President and CEO Mark Pearson reported several equity transactions dated 01/20/2026. He exercised 27,200 employee stock options at an exercise price of $23.18 per share, receiving the same number of shares of common stock. On the same date, he sold 33,838 shares of common stock at a weighted average price of $46.1059 and an additional 5,862 shares at a weighted average price of $46.7701.

The filing states that these option exercises and sales were carried out under a Rule 10b5-1 trading plan adopted on May 16, 2025. Following the reported transactions, Pearson directly beneficially owned 652,945.01 shares of Equitable Holdings common stock, which includes Restricted Stock Units and 11,011 shares acquired under the Employee Stock Purchase Plan, as well as 163,200 employee stock options.

Positive

  • None.

Negative

  • None.

Insights

Pre-planned CEO option exercise and share sales under a Rule 10b5-1 plan.

Equitable Holdings’ President and CEO Mark Pearson exercised 27,200 employee stock options at an exercise price of $23.18 per share on 01/20/2026, converting them into common stock. He then sold 33,838 shares at a weighted average price of $46.1059 and 5,862 shares at a weighted average price of $46.7701 on the same date. These transactions are typical for executives managing compensation tied to stock options.

The filing specifies that both the option exercise and related sales were executed pursuant to a Rule 10b5-1 trading plan adopted on May 16, 2025. Such plans are designed to structure trades in advance and help address concerns about trading on material nonpublic information. After the transactions, Pearson directly held 652,945.01 common shares, including Restricted Stock Units and 11,011 shares from the Employee Stock Purchase Plan, along with 163,200 stock options.

The pre-planned nature of the trades and the remaining sizable equity stake suggest these are routine compensation and liquidity events rather than a clear signal of changing views about the company. Future company filings may provide additional context on any subsequent equity awards or further use of the 2019 Omnibus Incentive Plan referenced in the option grant footnote.

Insider Pearson Mark
Role President and CEO
Sold 39,700 shs ($1.83M)
Type Security Shares Price Value
Exercise Employee Stock Option (right to buy) 27,200 $23.18 $630K
Exercise Common Stock 27,200 $23.18 $630K
Sale Common Stock 33,838 $46.1059 $1.56M
Sale Common Stock 5,862 $46.7701 $274K
Holdings After Transaction: Employee Stock Option (right to buy) — 163,200 shares (Direct); Common Stock — 692,645.01 shares (Direct)
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 $45.6350 to $46.6349. 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. This transaction was executed in multiple trades at prices ranging from $46.6350 to $46.9600 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED 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 NY 10105
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Equitable Holdings, Inc. [ EQH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
01/20/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Stock 01/20/2026 M 27,200(1) A $23.18 692,645.01(2) D
Common Stock 01/20/2026 S 33,838(1) D $46.1059(3) 658,807.01(2) D
Common Stock 01/20/2026 S 5,862 D $46.7701(4) 652,945.01 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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) $23.18 01/20/2026 M 27,200(1) (5) 02/26/2030 Common Stock 27,200 $23.18 163,200 D
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 $45.6350 to $46.6349. 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. This transaction was executed in multiple trades at prices ranging from $46.6350 to $46.9600 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.
5. 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/ Swathi Padmanabhan as attorney-in-fact for Mark Pearson 01/21/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR