SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
Company: Equitable Holdings, Inc.
Filing Type: Form 13F Information Table (Statement of Holdings)
Reporting Period: Quarter ended December 31, 2021
Context: This filing discloses the equity securities held by Equitable Holdings, Inc. as of the end of the reporting period. It details the issuer, class of security, CUSIP, value (in thousands), and number of shares held. The filing indicates that Equitable Holdings, Inc. holds a diversified portfolio consisting of individual equities and a significant number of Exchange Traded Funds (ETFs).
Key Financial Metrics and Portfolio Composition
Note: Form 13F filings disclose asset holdings, not the operating financial performance (revenue, profit, cash flow) of the reporting company itself. The following metrics reflect the portfolio composition as of the reporting date.
- Portfolio Structure: The portfolio is heavily weighted toward passive investment vehicles, with significant holdings in ETFs from providers such as iShares (BlackRock), Vanguard, SPDR (State Street), Invesco, and First Trust.
- Top Individual Equity Holdings (by Value):
- Apple Inc. (AAPL): $82,878,000 (466,736 shares)
- Microsoft Corp (MSFT): $36,646,000 (108,962 shares)
- Amazon.com Inc (AMZN): $19,856,000 (5,955 shares)
- Alphabet Inc Class A (GOOGL): $19,115,000 (6,598 shares)
- Alphabet Inc Class C (GOOG): $9,014,000 (3,115 shares)
- Top ETF Holdings (by Value):
- Dimensional ETF Trust US Core Equity 2: $20,041,000 (691,782 shares)
- Dimensional ETF Trust World Ex US Core: $6,442,000 (246,712 shares)
- Dimensional ETF Trust US Equity ETF: $10,876,000 (210,360 shares)
- First Trust Value Line Dividend Index Fund: $26,798,000 (622,621 shares)
- First Trust Exchange-Traded Fund III Preferred Securities Income ETF: $9,692,000 (476,986 shares)
- Debt and Liquidity: The filing text does not provide data on the company's corporate debt, cash flow, or liquidity positions. It only lists equity and equity-linked securities.
Material Changes vs. Prior Period
The provided text contains only the snapshot of holdings for the period ended December 31, 2021. It does not include the prior quarter's data or a schedule of purchases and sales. Therefore, material changes in position size or new entries cannot be determined from this document alone.
Guidance, Outlook, and Risks
Management Commentary: None. Form 13F is a regulatory disclosure of holdings and does not contain management discussion, guidance, or outlook.
Risks and Contingencies: The filing includes a standard disclaimer stating that the SEC has not reviewed the information for accuracy. The portfolio exposure to specific sectors (e.g., Technology, Financials, Energy) and geographic regions (via international ETFs) represents the primary investment risks inherent in the holdings listed.
Key Facts for Investor Verification
- Concentration Risk: Verify the total portfolio value to assess the concentration in top holdings like Apple and Microsoft relative to the company's total assets.
- Passive vs. Active: Confirm the strategic intent behind the heavy allocation to broad-market and factor-based ETFs (e.g., Dimensional, Vanguard, iShares) versus active stock picking.
- Self-Holding: Note that Equitable Holdings, Inc. holds 10,222 shares of its own common stock (EQU) valued at $335,000.
- Derivatives: The filing lists "Put/Call" columns, but all entries in the provided text show "0" for options, indicating no reported short positions or options activity in this specific table.
- Valuation Basis: All values are reported in thousands of dollars (x$1,000) as of the last trading day of the quarter.