Equitable (EQH) Form 4 Equitable / Anders Malmstrom ownership change

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

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Malmstrom Anders

(Last) (First) (Middle)

C/O EQUITABLE HOLDINGS, INC.

1290 AVENUE OF THE AMERICAS

(Street)

NEW YORK NY 10104

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Senior EVP & CFO

3. Date of Earliest Transaction (Month/Day/Year)
03/19/2021

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	03/19/2021		M		81,345	A	$21.34	221,412.8(1)	D
Common Stock	03/19/2021		M		78,535	A	$18.74	299,947.8(1)	D
Common Stock	03/19/2021		M		41,000	A	$23.18	340,947.8(1)	D
Common Stock	03/19/2021		S		200,880	D	$32.8215(2)	140,067.8(1)	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)	$21.34	03/19/2021		M			81,345	(3)	03/01/2028	Common Stock	81,345	$0.00	240,800	D
Employee Stock Option (right to buy)	$18.74	03/19/2021		M			78,535	(4)	02/14/2029	Common Stock	78,535	$0.00	162,265	D
Employee Stock Option (right to buy)	$23.18	03/19/2021		M			41,000	(5)	02/26/2030	Common Stock	41,000	$0.00	121,265	D

Explanation of Responses:

1. Includes restricted stock units.

2. This transaction was executed in multiple trades at prices ranging from $32.0600 to $33.0500. The price reported above reflects the weighted average purchase 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.

3. The options vested in three equal annual installments beginning on March 1, 2019.

4. The options vested/vest in three equal annual installments beginning on February 14, 2020.

5. The options vested/vest in three equal annual installments beginning on February 26, 2021.

Remarks:

	/s/ Ralph Petruzzo as attorney-in-fact for Anders Malmstrom	03/22/2021
	** 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.
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