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EQH Equitable

Filed: 22 Oct 21, 4:34pm

 

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