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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): February 6, 2020
Equitable Holdings, Inc.
(Exact name of registrant as specified in its charter)
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Delaware |
001-38469 |
90-0226248 |
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(State or other jurisdiction of |
(Commission File Number) |
(I.R.S. Employer |
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incorporation or organization) |
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Identification No.) |
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1290 Avenue of the Americas, New York, New York |
10104 |
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(Address of principal executive offices) |
(Zip Code) |
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(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:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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Title of each class |
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Trading Symbol |
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Name of Exchange on which registered |
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Common Stock |
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EQH |
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New York Stock Exchange |
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Depositary Shares, each representing a 1/1,000th interest in a share of Fixed Rate Noncumulative Perpetual Preferred Stock, Series A |
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EQH PR A |
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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 Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
On February 6, 2020, Thomas Buberl resigned as a director of Equitable Holdings, Inc. (the “Company”). Mr. Buberl’s resignation follows the sale by AXA S.A. (“AXA”) on December 10, 2019 of an additional 3,000,000 shares of common stock of the Company, which reduced AXA’s ownership interest in the Company below 10%. As a result of AXA ceasing to beneficially own more than 10% of the Company’s outstanding common stock, the number of directors that AXA may designate to the Company’s board of directors decreased from two to zero.
The Company has waived the requirement under the Shareholder Agreement, dated as of May 4, 2018, between the Company and AXA (the “Shareholder Agreement”) that George Stansfield resign as a director. Accordingly, Mr. Stansfield will continue to serve as a director for the remainder of his term but will no longer be an “AXA Director” as defined in the Shareholder Agreement.
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.
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EQUITABLE HOLDINGS, INC. |
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Date: February 7, 2020 |
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By: |
/s/ Dave S. Hattem |
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Name: |
Dave S. Hattem |
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Title: |
Senior Executive Vice President, Chief Legal Officer and Secretary |
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