09/23/2025 | Press release | Distributed by Public on 09/23/2025 14:29
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $18.74 | 09/22/2025 | M | 8,726 | (2) | 02/14/2029 | Common Stock | 8,726 | $ 0 | 0 | D | ||||
Employee Stock Options (right to buy) | $23.18 | 09/22/2025 | M | 17,162 | (3) | 02/26/2030 | Common Stock | 17,162 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Raju Robin M C/O EQUITABLE HOLDINGS, INC. 1345 AVENUE OF THE AMERICAS NEW YORK, NY 10105 |
Chief Financial Officer |
Michael Brudoley as attorney-in-fact for Robin Raju | 09/23/2025 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes Restricted Stock Units. |
(2) | Grant of employee stock options under the Issuer's omnibus incentive plans. The options vested/vest in three equal annual installments beginning on February 14, 2020. The number of securities underlying the initial derivative security grant was reported on a Form 3 filing dated April 9, 2021. All other options under this grant were executed prior to Reporting Person's appointment to Section 16 Officer. |
(3) | Grant of employee stock options under the Issuer's omnibus incentive plans. The options vested/vest in three equal annual installments beginning on February 26, 2021. The number of securities underlying the initial derivative security grant was reported on a Form 3 filing dated April 9, 2021. All other options under this grant were executed prior to Reporting Person's appointment to Section 16 Officer. |