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EQH Equitable

Filed: 21 May 21, 4:00pm

 

 

 

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): May 20, 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 5.07 Submission of Matters to a Vote of Security Holders.

On May 20, 2021, the Company held its Annual Meeting of Stockholders (the “Annual Meeting”). At the Annual Meeting, three proposals were submitted to the Company’s stockholders. The proposals are described in more detail in the Company’s definitive proxy statement filed with the U.S. Securities and Exchange Commission (the “SEC”) on April 7, 2021 (the “2021 Proxy Statement”). The final voting results are as follows:    

Proposal 1: The Company’s stockholders elected the nine director nominees named in the Company’s 2021 Proxy Statement to serve until the 2022 annual meeting or until their successors are elected or have been qualified. The voting results are set forth below:

 

 

 

 

 

 

 

 

 

 

Director Nominee

  

For

  

Against

  

Abstain

 

Broker Non-Vote

Francis A. Hondal

 

392,260,590

 

5,835,582

 

10,518

 

6,714,161

Daniel G. Kaye

  

396,588,898

  

1,471,821

  

45,971

 

6,714,161

Joan Lamm-Tennant

  

397,045,700

  

1,052,075

  

8,915

 

6,714,161

Kristi A. Matus

  

306,877,111

  

87,490,412

  

3,739,167

 

6,714,161

Ramon de Oliveira

 

380,646,209

 

17,414,477

 

46,004

 

6,714,161

Mark Pearson

 

397,009,975

 

1,085,995

 

10,720

 

6,714,161

Bertram L. Scott

 

329,942,528

 

64,423,497

 

3,740,665

 

6,714,161

George Stansfield

 

396,780,942

 

1,279,847

 

45,901

 

6,714,161

Charles G.T. Stonehill

 

303,025,015

 

91,068,794

 

4,012,881

 

6,714,161

Proposal 2: The Company’s stockholders ratified the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for fiscal year 2021. The voting results are set forth below:

 

 

 

 

 

 

 

 

For

  

Against

  

Abstain

  

Broker Non-Vote

398,395,273

 

6,398,185

 

27,393

 

N/A

Proposal 3: The Company’s stockholders approved an advisory resolution approving the compensation of the Company’s named executive officers. The voting results are set forth below:

 

 

 

 

 

 

 

 

For

  

Against

  

Abstain

  

Broker Non-Vote

387,256,856

 

10,294,547

 

555,287

 

6,714,161

 


 

 

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: May 21, 2021

 

 

By:

/s/ Ralph Petruzzo

 

 

 

Name:

Ralph Petruzzo

 

 

 

Title:

Vice President and Associate General Counsel