UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 5, 2021
Equitable Holdings, Inc.
(Exact name of registrant as specified in its charter)
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Delaware | 001-38469 | 90-0226248 |
(State or other jurisdiction of | (Commission File Number) | (I.R.S. Employer |
incorporation or organization) | | Identification No.) |
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1290 Avenue of the Americas, New York, New York | 10104 |
(Address of principal executive offices) | (Zip Code) |
(212) 554-1234
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Title of each class | | Trading Symbol | | Name of Exchange on which registered |
Common Stock | | EQH | | New York Stock Exchange |
Depositary Shares, each representing a 1/1,000th interest in a share of Fixed Rate Noncumulative Perpetual Preferred Stock, Series A | | EQH PR A | | New York Stock Exchange |
Depositary Shares, each representing a 1/1,000th interest in a share of Fixed Rate Noncumulative Perpetual Preferred Stock, Series C | | EQH PR C | | New York Stock Exchange |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 under the Securities Act (17 CFR 230.405) or Rule 12b-2 under the Exchange Act (17 CFR 240.12b-2).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
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Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On March 9, 2021, Equitable Holdings, Inc. (the “Company”) announced the appointment of Robin M. Raju as Chief Financial Officer of the Company effective April 1, 2021, subject to approval of the Company’s Board of Directors. Mr. Raju succeeds Anders Malmström who is resigning effective March 31, 2021. Mr. Malmström is resigning in order to return to his home and family in Switzerland, and his departure is not due to any matters related to the Company’s financial statements or disclosures, or accounting principles and practices.
Mr. Raju, age 39, has served as the Head of Individual Retirement at Equitable Financial since April 2020. From October 2017 to April 2020, he served as Treasurer of the Company and from February 2015 to April 2020 he also served as Managing Director and Business Chief Financial Officer for the Retirement and Wealth Management businesses. Since joining Equitable in 2004, Mr. Raju has held positions in the Office of the CEO, Equitable Investment Management Group and with Equitable Advisors Broker-Dealer.
The terms of Mr. Raju’s compensation have not yet been determined. In accordance with Instruction 2 of Item 5.02 of Form 8-K, the Company will amend this Current Report on Form 8-K within four business days after such information is determined or becomes available.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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| | | EQUITABLE HOLDINGS, INC. |
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Date: March 9, 2021 | | | By: | /s/ Dave S. Hattem |
| | | Name: | Dave S. Hattem |
| | | Title: | Senior Executive Vice President, Chief Legal Officer and Secretary |
