EQH

SEC source: 0001209191-18-029608 · doc4.xml · derivative · entry 3

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,500

Underlying: Common Stock · 92,500 shares

Expires not disclosed

F3 · derivative.exercise_price: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.exercise_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.expiration_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

SEC source: 0001209191-18-029608 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,500

F1 · shares: Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity 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 according to the following schedule: 50% vest on the six-month anniversary of the closing of the initial public offering of the Issuer's common stock (the "Transaction Date"), 25% on the one-year anniversary of the Transaction Date and 25% on the two-year anniversary of the Transaction Date. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-18-029593 · doc4.xml · derivative · entry 3

BERNSTEIN SETH P · CIK 0001705584 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires not disclosed

F3 · derivative.exercise_price: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.exercise_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.expiration_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

SEC source: 0001209191-18-029593 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

F1 · shares: Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity 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 according to the following schedule: 50% vest on the six-month anniversary of the closing of the initial public offering of the Issuer's common stock (the "Transaction Date"), 25% on the one-year anniversary of the Transaction Date and 25% on the two-year anniversary of the Transaction Date. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-18-029604 · doc4.xml · derivative · entry 3

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,000

Underlying: Common Stock · 37,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.exercise_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.expiration_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

SEC source: 0001209191-18-029604 · doc4.xml · nonDerivative · entry 1

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,000

F1 · shares: Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity 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 according to the following schedule: 50% vest on the six-month anniversary of the closing of the initial public offering of the Issuer's common stock (the "Transaction Date"), 25% on the one-year anniversary of the Transaction Date and 25% on the two-year anniversary of the Transaction Date. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-18-029596 · doc4.xml · derivative · entry 2

Hattem Dave S. · CIK 0001739394 · Senior EVP & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,000

Underlying: Common Stock · 37,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F2 · derivative.exercise_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F2 · derivative.expiration_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

SEC source: 0001209191-18-029596 · doc4.xml · nonDerivative · entry 1

Hattem Dave S. · CIK 0001739394 · Senior EVP & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,000

F1 · shares: Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity 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 according to the following schedule: 50% vest on the six-month anniversary of the closing of the initial public offering of the Issuer's common stock (the "Transaction Date"), 25% on the one-year anniversary of the Transaction Date and 25% on the two-year anniversary of the Transaction Date. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

SEC source: 0001209191-18-029610 · doc4.xml · derivative · entry 3

Winikoff Brian · CIK 0001739790 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires not disclosed

F3 · derivative.exercise_price: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.exercise_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

F3 · derivative.expiration_date: Grant of performance restricted stock units (PRSUs) under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity Incentive Plan exempt under Rule 16b-3. Each PRSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The PRSUs will vest upon and subject to achievement of the following criteria: (i) the Issuer's common stock achieving a market price of $26.00 for 30 consecutive days prior to May 14, 2020, or (ii) if the PRSUs have not vested by May 14, 2020, the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023.

SEC source: 0001209191-18-029610 · doc4.xml · nonDerivative · entry 1

Winikoff Brian · CIK 0001739790 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

F1 · shares: Grant of restricted stock units under the AXA Equitable Holdings, Inc. 2018 Omnibus Equity 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 according to the following schedule: 50% vest on the six-month anniversary of the closing of the initial public offering of the Issuer's common stock (the "Transaction Date"), 25% on the one-year anniversary of the Transaction Date and 25% on the two-year anniversary of the Transaction Date. Vested shares will be delivered to the reporting person within 30 days following the vesting date.

F2 · balance_after: Includes restricted stock units.