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): October 22, 2021
Equitable Holdings, Inc.
(Exact name of registrant as specified in its charter)
| | |
Delaware | 001-38469 | 90-0226248 |
(State or other jurisdiction of | (Commission File Number) | (I.R.S. Employer |
incorporation or organization) | | Identification No.) |
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. ☐
Item 5.02, Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers.
Effective October 22, 2021, Ramon de Oliveira resigned as Chair and member of the Board of Directors (the “Board”) of Equitable Holdings, Inc. (the “Company”). Mr. de Oliveira served as Chair since March 2019, when the Company became an independent entity, during which time the Company delivered significant shareholder value in a challenging environment. Mr. de Oliveira resigned after agreeing with the Company that he engaged in communications that were inconsistent with the Company’s standards. Mr. de Oliveira’s departure is unrelated to the Company's operations, financial integrity or controls.
Joan Lamm-Tennant, who currently serves on the Board, has been appointed to serve as Chair effective as of Mr. de Oliveira’s resignation.
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.
| | | EQUITABLE HOLDINGS, INC. |
| | | | |
Date: October 22, 2021 | | | By: | /s/ Ralph Petruzzo |
| | | Name: | Ralph Petruzzo |
| | | Title: | Associate General Counsel |
