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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): May 24, 2023

 

 

Equitable Holdings, Inc.

(Exact name of Registrant as Specified in Its Charter)

 

 

Delaware

001-38469

90-0226248

(State or Other Jurisdiction
of Incorporation)

(Commission File Number)

(IRS Employer
Identification No.)

 

 

 

 

 

1290 Avenue of the Americas

 

New York, New York

 

10104

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s Telephone Number, Including Area Code: (212) 554-1234

 

 

(Former Name or Former 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))

 

Securities registered pursuant to Section 12(b) of the Act:


Title of each class

 

Trading
Symbol(s)

 


Name of each 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 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

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 24, 2023, 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 on April 11, 2023 (the “2023 Proxy Statement”). The final voting results are as follows:

Proposal 1: The Company’s stockholders elected the nine director nominees named in the Definitive Proxy Statement to serve until the 2024 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

Joan Lamm-Tennant

 

305,843,535

 

17,867,808

 

1,392,822

 

10,720,640

Francis A. Hondal

322,444,813

2,396,489

262,863

 

10,720,640

Arlene Isaacs-Lowe

323,378,712

1,463,346

262,107

 

10,720,640

Daniel G. Kaye

317,915,364

6,925,735

263,066

 

10,720,640

Craig MacKay

 

324,297,410

 

543,468

 

263,287

 

10,720,640

Mark Pearson

 

323,628,539

 

1,207,964

 

267,662

 

10,720,640

Bertram L. Scott

 

307,495,466

 

17,344,268

 

264,431

 

10,720,640

George Stansfield

 

323,648,722

 

1,192,464

 

262,979

 

10,720,640

Charles G.T. Stonehill

 

323,640,397

 

1,203,878

 

259,890

 

10,720,640

Proposal 2: The Company’s stockholders ratified the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for fiscal year 2023. The voting results are set forth below:

 

 

 

 

 

 

 

For

Against

Abstain

Broker Non-Vote

321,164,465

 

14,643,816

 

16,524

 

0

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

313,615,571

 

11,148,103

 

340,491

 

10,720,640

 

Item 9.01 Financial Statements and Exhibits.

 

Exhibit

Description

104

Cover Page Interactive Data File (embedded within the Inline XBRL document).

 

SIGNATURES

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 26, 2023

By:

/s/ Ralph Petruzzo

 

 

 

Ralph Petruzzo
Associate General Counsel