Dave S. Hattem
CIK 1739394 · SEVP & Chief Legal Officer · last filed 2021-03-16
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$3.24M
Companies
1
Total Filings
19
Lifetime Open-Market Net
-$434.7K
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| EQH | SEVP & Chief Legal Officer | 63,254 | $51.30 | $3.24M | -$434.7K | 19 | 2021-03-16 |
Recent Filings · Page 2 of 2
19 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2020-03-18 | EQH | Grant (A) | +379 | $0 | EDGAR |
| 2020-03-12 | EQH | Buy (P) | +3,000 | $40.9K | EDGAR |
| 2020-03-03 | EQH | Tax (F) | −2,032 | -$43.5K | EDGAR |
| 2020-02-28 | EQH | Grant (A) | +10,786 | $0 | EDGAR |
| 2020-02-19 | EQH | Tax (F) | −1,786 | -$48.0K | EDGAR |
| 2019-02-19 | EQH | Grant (A) | +13,341 | $0 | EDGAR |
| 2018-06-13 | EQH | Grant (A) | — | $0 | EDGAR |
| 2018-05-18 | EQH | Grant (A) | +11,532 | $0 | EDGAR |
| 2018-05-11 | EQH | Grant (A) | +37,000 | $0 | EDGAR |
Showing 11–19 of 19
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Page 2 of 2
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.