0001591587-23-000024.txt : 20230612
0001591587-23-000024.hdr.sgml : 20230612
20230612194106
ACCESSION NUMBER: 0001591587-23-000024
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230608
FILED AS OF DATE: 20230612
DATE AS OF CHANGE: 20230612
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wolfsen Natalie Grace
CENTRAL INDEX KEY: 0001782587
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38980
FILM NUMBER: 231009882
MAIL ADDRESS:
STREET 1: C/O ASSETMARK FINANCIAL HOLDINGS, INC.
STREET 2: 1655 GRANT STREET, 10TH FLOOR
CITY: CONCORD
STATE: CA
ZIP: 94520
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AssetMark Financial Holdings, Inc.
CENTRAL INDEX KEY: 0001591587
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 300774039
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1655 GRANT STREET, 10TH FLOOR
CITY: CONCORD
STATE: CA
ZIP: 94520
BUSINESS PHONE: 800-664-5345
MAIL ADDRESS:
STREET 1: 1655 GRANT STREET, 10TH FLOOR
CITY: CONCORD
STATE: CA
ZIP: 94520
FORMER COMPANY:
FORMER CONFORMED NAME: AqGen Liberty Management II, Inc.
DATE OF NAME CHANGE: 20131108
4
1
wk-form4_1686613257.xml
FORM 4
X0407
4
2023-06-08
0
0001591587
AssetMark Financial Holdings, Inc.
AMK
0001782587
Wolfsen Natalie Grace
C/O ASSETMARK FINANCIAL HOLDINGS, INC.
1655 GRANT STREET, 10TH FLOOR
CONCORD
CA
94520
1
1
0
0
EVP, Chief Executive Officer
0
Common Stock
2023-06-08
4
A
0
26697
0
A
439268
D
Common Stock
2023-06-08
4
S
0
7186
30.04
D
432082
D
Common Stock
2023-06-09
4
S
0
1348
29.61
D
430734
D
Stock Appreciation Right
30.30
2023-06-08
4
A
0
172798
0
A
2033-06-08
Common Stock
0
172798
D
Stock Appreciation Right
30.30
2023-06-08
4
A
0
56029
0
A
2033-06-08
Common Stock
56029
56029
D
Consists of restricted stock units that vest in four equal annual installments on the first four anniversaries of the date of grant and settle in shares of common stock of the Issuer.
Reflects the number of shares of Common Stock that were sold to satisfy tax withholding requirements on vesting of restricted stock units pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's RSU Agreement, and does not represent a discretionary sale by the Reporting Person. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees.
The Stock Appreciation Right vests in four equal annual installments on the first four anniversaries of the date of grant.
Upon exercise, the Stock Appreciation Right will be settled in cash.
Upon exercise, the Stock Appreciation Right will be settled, in the Issuer?s discretion, in Common Stock, cash or such other form permitted by the AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan.
The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees.
/s/ Celeste Angelich, as Attorney-in-Fact, for Natalie Grace Wolfsen
2023-06-12