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 March 31, 2021
Context: This filing discloses the equity securities held by Equitable Holdings, Inc. as of the end of the first quarter of 2021. It details the issuer, class of security, CUSIP, value (in thousands), and share count for each holding. The filing indicates that Equitable Holdings exercises sole voting authority for the vast majority of these positions.
Key Financial Metrics and Portfolio Composition
Portfolio Overview: The filing lists a diversified portfolio consisting of individual equities and a significant number of Exchange Traded Funds (ETFs). The data provided represents the fair value of holdings in thousands of dollars.
- Top Individual Equity Holdings (by Value):
- Apple Inc.: $54,171,000 (443,477 shares)
- Microsoft Corp: $25,946,000 (110,050 shares)
- Amazon.com Inc: $15,390,000 (4,974 shares)
- Alphabet Inc (Class A): $12,344,000 (5,985 shares)
- Alphabet Inc (Class C): $6,738,000 (3,257 shares)
- Top ETF Holdings (by Value):
- SPDR S&P 500 ETF Trust: $30,223,000 (76,256 shares)
- SPDR Portfolio S&P 500 Value ETF: $26,003,000 (686,100 shares)
- SPDR Portfolio S&P 500 Growth ETF: $9,120,000 (161,700 shares)
- iShares Core S&P 500 ETF: $96,080,000 (241,517 shares)
- iShares S&P 500 Growth ETF: $125,668,000 (1,930,092 shares)
- Notable Sector Exposure: Significant holdings in Technology (Apple, Microsoft, Alphabet, NVIDIA), Financials (JPMorgan Chase, Bank of America, Blackstone), and Healthcare (Pfizer, Merck, UnitedHealth Group).
Debt and Liquidity: This Form 13F filing does not contain information regarding the company's debt levels, cash flow, liquidity, or operating margins. It strictly reports long-term equity holdings.
Material Changes vs. Prior Period
Comparison Data: The provided text contains only the snapshot of holdings as of March 31, 2021. It does not include the prior quarter's data (December 31, 2020) within the same document. Therefore, specific material changes in position size or new entries cannot be calculated from this source text alone.
Guidance, Outlook, and Risks
Management Commentary: Form 13F filings are regulatory disclosures of holdings and do not contain management commentary, forward-looking guidance, or strategic outlooks.
Risks and Contingencies: No specific risks or contingencies are disclosed in this filing. The standard SEC disclaimer notes that the Commission has not reviewed the information for accuracy or completeness.
Unusual Items: The portfolio includes a diverse mix of thematic ETFs (e.g., Clean Energy, Cannabis, Blockchain, Artificial Intelligence) alongside traditional broad-market index funds, suggesting a strategy that blends passive indexing with active thematic exposure.
Key Facts for Investor Verification
- Concentration Risk: Verify the total portfolio value to determine the percentage concentration in top holdings like Apple, Microsoft, and major S&P 500 ETFs.
- Valuation Basis: Confirm that the "Value" column represents the fair market value at the quarter-end date (March 31, 2021) and is reported in thousands.
- Voting Rights: Note that Equitable Holdings reports "Sole" voting authority for nearly all listed securities, indicating direct control over these investment decisions.
- ETF Overlap: Investors should verify the underlying holdings of the numerous ETFs listed to avoid double-counting exposure to specific sectors or individual stocks (e.g., multiple S&P 500 growth ETFs).
- Missing Financials: Do not use this document to assess Equitable Holdings' own financial health (revenue, profit, debt); refer to their 10-Q or 10-K filings for that data.