Dave S. Hattem

Insider

First SEC filing: Feb. 14, 2020 · Latest: Feb. 14, 2020

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.

Insider at

EQH selling March 15, 2021

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 27 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

27 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
March 15, 2021	EQH	S	3,000	$32.27	$96,810	63,255 Direct	-4.53%	Disposed	52.8% (price as of 2026-08-20)
March 11, 2021	EQH	A	213	—	—	39,980 Direct	+0.54%	Acquired	(price as of 2026-08-20)
March 11, 2021	EQH	S	6,900	$31.82	$219,558	66,255 Direct	-9.43%	Disposed	54.9% (price as of 2026-08-20)
March 11, 2021	EQH	A	142	—	—	73,155 Direct	+0.19%	Acquired	(price as of 2026-08-20)
March 1, 2021	EQH	F	21,470	$30.26	$649,682	73,013 Direct	-22.72%	Disposed	62.9% (price as of 2026-08-20)
March 1, 2021	EQH	A	40,339	—	—	94,483 Direct	+74.50%	Acquired	(price as of 2026-08-20)
March 1, 2021	EQH	F	2,103	$30.26	$63,637	54,144 Direct	-3.74%	Disposed	62.9% (price as of 2026-08-20)
Feb. 26, 2021	EQH	F	1,974	$29.57	$58,371	56,247 Direct	-3.39%	Disposed	66.7% (price as of 2026-08-20)
Feb. 17, 2021	EQH	A	14,353	—	—	58,221 Direct	+32.72%	Acquired	(price as of 2026-08-20)
Feb. 14, 2021	EQH	F	1,694	$27.35	$46,331	43,868 Direct	-3.72%	Disposed	80.3% (price as of 2026-08-20)
Dec. 1, 2020	EQH	A	255	—	—	39,768 Direct	+0.65%	Acquired	(price as of 2026-08-20)
Dec. 1, 2020	EQH	A	158	—	—	45,561 Direct	+0.35%	Acquired	(price as of 2026-08-20)
Nov. 6, 2020	EQH	S	7,000	$22.75	$159,250	45,403 Direct	-13.36%	Disposed	116.7% (price as of 2026-08-20)
Aug. 18, 2020	EQH	A	317	—	—	39,513 Direct	+0.81%	Acquired	(price as of 2026-08-20)
Aug. 18, 2020	EQH	A	197	—	—	52,403 Direct	+0.38%	Acquired	(price as of 2026-08-20)
June 9, 2020	EQH	A	299	—	—	39,196 Direct	+0.77%	Acquired	(price as of 2026-08-20)
June 9, 2020	EQH	A	186	—	—	52,206 Direct	+0.36%	Acquired	(price as of 2026-08-20)
May 10, 2020	EQH	F	5,175	$17.85	$92,374	52,020 Direct	-9.05%	Disposed	176.2% (price as of 2026-08-20)
March 16, 2020	EQH	A	435	—	—	38,897 Direct	+1.13%	Acquired	(price as of 2026-08-20)
March 16, 2020	EQH	A	380	—	—	57,195 Direct	+0.67%	Acquired	(price as of 2026-08-20)
March 12, 2020	EQH	P	3,000	$13.65	$40,950	56,816 Direct	+5.57%	Acquired	261.2% (price as of 2026-08-20)
March 1, 2020	EQH	F	2,033	$21.40	$43,506	53,816 Direct	-3.64%	Disposed	130.4% (price as of 2026-08-20)
Feb. 26, 2020	EQH	A	57,209	—	—	176,885 Direct	+47.80%	Acquired	(price as of 2026-08-20)
Feb. 26, 2020	EQH	A	10,786	—	—	55,849 Direct	+23.94%	Acquired	(price as of 2026-08-20)
Feb. 14, 2020	EQH	F	1,787	$26.89	$48,052	45,063 Direct	-3.81%	Disposed	83.4% (price as of 2026-08-20)
Feb. 14, 2019	EQH	A	65,446	—	—	119,676 Direct	+120.68%	Acquired	(price as of 2026-08-20)
Feb. 14, 2019	EQH	A	13,341	—	—	61,873 Direct	+27.49%	Acquired	(price as of 2026-08-20)
June 11, 2018	EQH	A	54,230	—	—	54,230 Direct	—	Acquired	(price as of 2026-08-20)
May 17, 2018	EQH	A	11,532	—	—	48,532 Direct	+31.17%	Acquired	(price as of 2026-08-20)
May 9, 2018	EQH	A	37,000	—	—	37,000 Direct	—	Acquired	(price as of 2026-08-20)
May 9, 2018	EQH	A	37,000	—	—	37,000 Direct	—	Acquired	(price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
March 11, 2021	EQH	Performance Restricted Stock Units	Common Stock (213)	—	—	213	Acquired
Dec. 1, 2020	EQH	Performance Restricted Stock Units	Common Stock (255)	—	—	255	Acquired
Aug. 18, 2020	EQH	Performance Restricted Stock Units	Common Stock (317)	—	—	317	Acquired
June 9, 2020	EQH	Performance Restricted Stock Units	Common Stock (299)	—	—	299	Acquired
March 16, 2020	EQH	Performance Restricted Stock Units	Common Stock (435)	—	—	435	Acquired
Feb. 26, 2020	EQH	Employee Stock Option (right to buy)	Common Stock (57,209)	$23.18	Feb. 26, 2030	57,209	Acquired
Feb. 14, 2019	EQH	Employee Stock Option (right to buy)	Common Stock (65,446)	$18.74	Feb. 14, 2029	65,446	Acquired
June 11, 2018	EQH	Employee Stock Option (right to buy	Common Stock (54,230)	$21.34	March 1, 2028	54,230	Acquired
May 9, 2018	EQH	Performance Restricted Stock Units	Common Stock (37,000)	—	—	37,000	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).