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EQH

Equitable Holdings, Inc.

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Tapewire entity
3405
SEC CIK
0001333986
Parsed reports
625

Last 12 months

Inside the activity.

1 purchase rows · 61 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 202516
Jan 202606
Feb 202605
Mar 202600
Apr 2026010
May 202605
Jun 202605
Jul 202606
Aug 2026010
Sep 202604
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 07, 2022 Filed Mar 9, 2022 02:56 UTC
BERNSTEIN SETH PSee Remarks
GrantCommon Stock 149.49 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-017425 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,668.34

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

Read SEC document
March 07, 2022 Filed Mar 9, 2022 02:55 UTC
Gonzalez Jose RamonChief Legal Officer
GrantCommon Stock 428.57 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-017424 · doc4.xml · nonDerivative · entry 1

Gonzalez Jose Ramon · CIK 0001784571 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,794.18

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes restricted stock units.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 22:51 UTC
Raju Robin MChief Financial Officer
Tax withholdingCommon Stock 1,125 $32.66 $36,742.50
Disclosure

SEC source: 0001209191-22-014219 · doc4.xml · nonDerivative · entry 2

Raju Robin M · CIK 0001854854 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,612.79

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 22:49 UTC
Eckert William James IVChief Accounting Officer
Tax withholdingCommon Stock 999 $32.66 $32,627.34
Disclosure

SEC source: 0001209191-22-014212 · doc4.xml · nonDerivative · entry 2

Eckert William James IV · CIK 0001693205 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,513.43

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 22:52 UTC
HURD JEFFREY JChief Operating Officer
Tax withholdingCommon Stock 4,997 $32.66 $163,202.02
Disclosure

SEC source: 0001209191-22-014224 · doc4.xml · nonDerivative · entry 2

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,586.66

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 22:49 UTC
Lane Nick(See Remarks)
Tax withholdingCommon Stock 5,246 $32.66 $171,334.36
Disclosure

SEC source: 0001209191-22-014208 · doc4.xml · nonDerivative · entry 2

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,646.96

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 22:54 UTC
Pearson MarkDirector · President and CEO
Tax withholdingCommon Stock 21,648 $32.66 $707,023.68
Disclosure

SEC source: 0001209191-22-014232 · doc4.xml · nonDerivative · entry 2

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,752.09

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes Restricted Stock Units.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 22:47 UTC
BERNSTEIN SETH PSee Remarks
Tax withholdingCommon Stock 2,300 $32.66 $75,118.00
Disclosure

SEC source: 0001209191-22-014203 · doc4.xml · nonDerivative · entry 2

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,518.85

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 22:46 UTC
Gonzalez Jose RamonChief Legal Officer
Tax withholdingCommon Stock 2,565 $32.66 $83,772.90
Disclosure

SEC source: 0001209191-22-014201 · doc4.xml · nonDerivative · entry 1

Gonzalez Jose Ramon · CIK 0001784571 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,365.61

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 22:51 UTC
Raju Robin MChief Financial Officer
Tax withholdingCommon Stock 919 $33.09 $30,409.71
Disclosure

SEC source: 0001209191-22-014219 · doc4.xml · nonDerivative · entry 1

Raju Robin M · CIK 0001854854 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,737.79

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 22:49 UTC
Eckert William James IVChief Accounting Officer
Tax withholdingCommon Stock 874 $33.09 $28,920.66
Disclosure

SEC source: 0001209191-22-014212 · doc4.xml · nonDerivative · entry 1

Eckert William James IV · CIK 0001693205 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,512.43

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 22:52 UTC
HURD JEFFREY JChief Operating Officer
Tax withholdingCommon Stock 3,881 $33.09 $128,422.29
Disclosure

SEC source: 0001209191-22-014224 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,583.66

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 22:49 UTC
Lane Nick(See Remarks)
Tax withholdingCommon Stock 3,881 $33.09 $128,422.29
Disclosure

SEC source: 0001209191-22-014208 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,892.96

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 22:54 UTC
Pearson MarkDirector · President and CEO
Tax withholdingCommon Stock 16,105 $33.09 $532,914.45
Disclosure

SEC source: 0001209191-22-014232 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 532,400.09

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes Restricted Stock Units.

Read SEC document
February 26, 2022 Filed Mar 1, 2022 22:47 UTC
BERNSTEIN SETH PSee Remarks
Tax withholdingCommon Stock 2,102 $33.09 $69,555.18
Disclosure

SEC source: 0001209191-22-014203 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,818.85

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:15 UTC
Raju Robin MChief Financial Officer
GrantCommon Stock 19,659 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011236 · doc4.xml · nonDerivative · entry 1

Raju Robin M · CIK 0001854854 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,656.79

F1 · shares: Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28,2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date

F2 · balance_after: Total includes restricted stock units.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:15 UTC
Eckert William James IVChief Accounting Officer
GrantCommon Stock 5,031 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011230 · doc4.xml · nonDerivative · entry 1

Eckert William James IV · CIK 0001693205 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,386.43

F1 · shares: Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28, 2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:15 UTC
HURD JEFFREY JChief Operating Officer
GrantCommon Stock 23,129 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011235 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,464.66

F1 · shares: Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three annual ratable installments beginning on February 28, 2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:15 UTC
Lane Nick(See Remarks)
GrantCommon Stock 28,911 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011234 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,773.96

F1 · shares: Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28,2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:15 UTC
Pearson MarkDirector · President and CEO
GrantCommon Stock 122,579 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011233 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 548,505.09

F1 · shares: Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28, 2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:15 UTC
BERNSTEIN SETH PSee Remarks
GrantCommon Stock 11,565 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011232 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,920.85

F1 · shares: Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28, 2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 21:15 UTC
Gonzalez Jose RamonChief Legal Officer
GrantCommon Stock 13,877 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-011231 · doc4.xml · nonDerivative · entry 1

Gonzalez Jose Ramon · CIK 0001784571 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,930.61

F1 · shares: Grant of restricted stock units under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. The restricted stock units vest in three ratable annual installments beginning on February 28,2022. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Total includes restricted stock units.

Read SEC document
February 15, 2022 Filed Feb 16, 2022 21:30 UTC
Pearson MarkDirector · President and CEO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $18.74 $0.00
Disclosure

SEC source: 0001209191-22-010205 · doc4.xml · derivative · entry 6

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 986,400

Underlying: Common Stock · 20,000 shares

Expires 2029-02-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The option vests in three annual installments beginning on February 14, 2020.

Read SEC document
February 15, 2022 Filed Feb 16, 2022 21:30 UTC
Pearson MarkDirector · President and CEO
SaleCommon Stock 30,000 $34.44 $1,033,293.00
Disclosure

SEC source: 0001209191-22-010205 · doc4.xml · nonDerivative · entry 5

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,926.09

F5 · shares: 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 December 15, 2021.

F6 · price: This transaction was executed in multiple trades at prices ranging from $34.0700 to $34.7100. 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.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 15, 2022 Filed Feb 16, 2022 21:30 UTC
Pearson MarkDirector · President and CEO
Exercise / conversionCommon Stock 20,000 $18.74 $374,800.00
Disclosure

SEC source: 0001209191-22-010205 · doc4.xml · nonDerivative · entry 4

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,926.09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: 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 December 15, 2021.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Raju Robin MChief Financial Officer
Tax withholdingCommon Stock 7,262 $33.94 $246,472.28
Disclosure

SEC source: 0001209191-22-010189 · doc4.xml · nonDerivative · entry 3

Raju Robin M · CIK 0001854854 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,997.79

F4 · shares: Shares withheld to cover taxes upon vesting of the performance shares.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Raju Robin MChief Financial Officer
GrantCommon Stock 20,144 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-010189 · doc4.xml · nonDerivative · entry 2

Raju Robin M · CIK 0001854854 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,259.79

F3 · shares: Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2019 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Raju Robin MChief Financial Officer
Tax withholdingCommon Stock 791 $33.94 $26,846.54
Disclosure

SEC source: 0001209191-22-010189 · doc4.xml · nonDerivative · entry 1

Raju Robin M · CIK 0001854854 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,115.79

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Eckert William James IVChief Accounting Officer
Tax withholdingCommon Stock 7,384 $33.94 $250,612.96
Disclosure

SEC source: 0001209191-22-010186 · doc4.xml · nonDerivative · entry 3

Eckert William James IV · CIK 0001693205 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,355.43

F4 · shares: Shares withheld to cover taxes upon vesting of the performance shares.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Eckert William James IVChief Accounting Officer
GrantCommon Stock 20,329 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-010186 · doc4.xml · nonDerivative · entry 2

Eckert William James IV · CIK 0001693205 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,739.43

F3 · shares: Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2018 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Eckert William James IVChief Accounting Officer
Tax withholdingCommon Stock 799 $33.94 $27,118.06
Disclosure

SEC source: 0001209191-22-010186 · doc4.xml · nonDerivative · entry 1

Eckert William James IV · CIK 0001693205 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,410.43

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
HURD JEFFREY JChief Operating Officer
Tax withholdingCommon Stock 44,508 $33.94 $1,510,601.52
Disclosure

SEC source: 0001209191-22-010187 · doc4.xml · nonDerivative · entry 3

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,335.66

F4 · shares: Shares withheld to cover taxes upon vesting of the performance shares.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
HURD JEFFREY JChief Operating Officer
Tax withholdingCommon Stock 3,134 $33.94 $106,367.96
Disclosure

SEC source: 0001209191-22-010187 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,755.66

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Lane Nick(See Remarks)
Tax withholdingCommon Stock 46,247 $33.94 $1,569,623.18
Disclosure

SEC source: 0001209191-22-010185 · doc4.xml · nonDerivative · entry 3

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,862.96

F4 · shares: Shares withheld to cover taxes upon vesting of the performance shares.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Lane Nick(See Remarks)
GrantCommon Stock 96,552 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-010185 · doc4.xml · nonDerivative · entry 2

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,109.96

F3 · shares: Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2018 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
Lane Nick(See Remarks)
Tax withholdingCommon Stock 3,361 $33.94 $114,072.34
Disclosure

SEC source: 0001209191-22-010185 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,557.96

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:30 UTC
Pearson MarkDirector · President and CEO
Tax withholdingCommon Stock 152,925 $33.94 $5,190,274.50
Disclosure

SEC source: 0001209191-22-010205 · doc4.xml · nonDerivative · entry 3

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,926.09

F4 · shares: Shares withheld to cover taxes upon vesting of the performance shares.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:30 UTC
Pearson MarkDirector · President and CEO
GrantCommon Stock 276,536 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-010205 · doc4.xml · nonDerivative · entry 2

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 588,851.09

F3 · shares: Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2018 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:30 UTC
Pearson MarkDirector · President and CEO
Tax withholdingCommon Stock 11,113 $33.94 $377,175.22
Disclosure

SEC source: 0001209191-22-010205 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,315.09

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
BERNSTEIN SETH PSee Remarks
Tax withholdingCommon Stock 24,408 $33.94 $828,407.52
Disclosure

SEC source: 0001209191-22-010188 · doc4.xml · nonDerivative · entry 3

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,355.85

F4 · shares: Shares withheld to cover taxes upon vesting of the performance shares.

F2 · balance_after: Includes restricted stock units.

Read SEC document
February 14, 2022 Filed Feb 16, 2022 21:15 UTC
BERNSTEIN SETH PSee Remarks
GrantCommon Stock 50,818 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-010188 · doc4.xml · nonDerivative · entry 2

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,763.85

F3 · shares: Reflects the vesting of performance shares, which were granted pursuant to the registrant's 2018 Omnibus Incentive Plan. The performance shares were earned upon the attainment of certain performance objectives for the period January 1, 2019 through December 31, 2021.

F2 · balance_after: Includes restricted stock units.

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February 14, 2022 Filed Feb 16, 2022 21:15 UTC
BERNSTEIN SETH PSee Remarks
Tax withholdingCommon Stock 1,946 $33.94 $66,047.24
Disclosure

SEC source: 0001209191-22-010188 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,945.85

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

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February 01, 2022 Filed Feb 3, 2022 21:15 UTC
HURD JEFFREY JChief Operating Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 15,000 $0.00 Strike: $21.34 $0.00
Disclosure

SEC source: 0001209191-22-006773 · doc4.xml · derivative · entry 4

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,833

Underlying: Common Stock · 15,000 shares

Expires 2028-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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 28, 2021.

F5 · derivative.exercise_date: The options vested/vest in three installments beginning on March 1, 2021.

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February 01, 2022 Filed Feb 3, 2022 21:15 UTC
HURD JEFFREY JChief Operating Officer
SaleCommon Stock 5,880 $34.51 $202,937.62
Disclosure

SEC source: 0001209191-22-006773 · doc4.xml · nonDerivative · entry 3

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,889.66

F1 · shares: 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 28, 2021.

F4 · price: This transaction was executed in multiple trades at prices ranging from $34.3300 to $34.6300. 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.

F2 · balance_after: Includes Restricted Stock Units.

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February 01, 2022 Filed Feb 3, 2022 21:15 UTC
HURD JEFFREY JChief Operating Officer
SaleCommon Stock 9,120 $33.78 $308,111.90
Disclosure

SEC source: 0001209191-22-006773 · doc4.xml · nonDerivative · entry 2

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,769.66

F1 · shares: 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 28, 2021.

F3 · price: This transaction was executed in multiple trades at prices ranging from $33.3300 to $34.3200. 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.

F2 · balance_after: Includes Restricted Stock Units.

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February 01, 2022 Filed Feb 3, 2022 21:15 UTC
HURD JEFFREY JChief Operating Officer
Exercise / conversionCommon Stock 15,000 $21.34 $320,100.00
Disclosure

SEC source: 0001209191-22-006773 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,889.66

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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 28, 2021.

F2 · balance_after: Includes Restricted Stock Units.

Read SEC document
January 18, 2022 Filed Jan 20, 2022 21:15 UTC
Pearson MarkDirector · President and CEO
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $18.74 $0.00
Disclosure

SEC source: 0001209191-22-004028 · doc4.xml · derivative · entry 3

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,006,400

Underlying: Common Stock · 20,000 shares

Expires 2029-02-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: Grant of employee stock option under the Issuer's 2019 Omnibus Incentive Plan exempt under Rule 16b-3. The options vest/vested in three installments beginning on February 14, 2020.

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January 18, 2022 Filed Jan 20, 2022 21:15 UTC
Pearson MarkDirector · President and CEO
SaleCommon Stock 30,000 $35.35 $1,060,464.00
Disclosure

SEC source: 0001209191-22-004028 · doc4.xml · nonDerivative · entry 2

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,428.09

F1 · shares: 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 December 15, 2021.

F3 · price: This transaction was executed in multiple trades at prices ranging from $35.0000 to $35.97. 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.

F2 · balance_after: Total includes Restricted Stock Units.

Read SEC document
January 18, 2022 Filed Jan 20, 2022 21:15 UTC
Pearson MarkDirector · President and CEO
Exercise / conversionCommon Stock 20,000 $18.74 $374,800.00
Disclosure

SEC source: 0001209191-22-004028 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,428.09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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 December 15, 2021.

F2 · balance_after: Total includes Restricted Stock Units.

Read SEC document
January 03, 2022 Filed Jan 4, 2022 22:35 UTC
HURD JEFFREY JChief Operating Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 15,000 $0.00 Strike: $21.34 $0.00
Disclosure

SEC source: 0001209191-22-001035 · doc4.xml · derivative · entry 3

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,833

Underlying: Common Stock · 15,000 shares

Expires 2028-03-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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 28, 2021.

F4 · derivative.exercise_date: The options vested/vest in three installments beginning on March 1, 2021.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.