0000950103-19-009421.txt : 20190717 0000950103-19-009421.hdr.sgml : 20190717 20190717193506 ACCESSION NUMBER: 0000950103-19-009421 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20190717 FILED AS OF DATE: 20190717 DATE AS OF CHANGE: 20190717 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huatai Securities Co., Ltd. CENTRAL INDEX KEY: 0001782677 STATE OF INCORPORATION: F4 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19960164 BUSINESS ADDRESS: STREET 1: NO.228 MIDDLE JIANGDONG ROAD CITY: NANJING, JIANGSU PROVINCE STATE: F4 ZIP: 210019 BUSINESS PHONE: 86-25-83389999 MAIL ADDRESS: STREET 1: NO.228 MIDDLE JIANGDONG ROAD CITY: NANJING, JIANGSU PROVINCE STATE: F4 ZIP: 210019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huatai International Financial Holdings Co Ltd CENTRAL INDEX KEY: 0001782596 STATE OF INCORPORATION: K3 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19960165 BUSINESS ADDRESS: STREET 1: ROOM 5808-5812, 58/F. STREET 2: THE CENTER, 99 QUEEN'S ROAD CENTRAL CITY: HONG KONG STATE: F4 ZIP: 00000 BUSINESS PHONE: 852-36586000 MAIL ADDRESS: STREET 1: ROOM 5808-5812, 58/F. STREET 2: THE CENTER, 99 QUEEN'S ROAD CENTRAL CITY: HONG KONG STATE: F4 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Huatai International Investment Holdings Ltd CENTRAL INDEX KEY: 0001782597 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19960166 BUSINESS ADDRESS: STREET 1: ROOM 5808-5812, 58/F. STREET 2: THE CENTER, 99 QUEEN'S ROAD CENTRAL CITY: HONG KONG STATE: F4 ZIP: 00000 BUSINESS PHONE: 852-36586000 MAIL ADDRESS: STREET 1: ROOM 5808-5812, 58/F. STREET 2: THE CENTER, 99 QUEEN'S ROAD CENTRAL CITY: HONG KONG STATE: F4 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AssetMark Holdings LLC CENTRAL INDEX KEY: 0001691721 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19960167 BUSINESS ADDRESS: STREET 1: 1655 GRANT STREET, 10TH FLOOR CITY: CONCORD STATE: CA ZIP: 94520 BUSINESS PHONE: 925-521-5600 MAIL ADDRESS: STREET 1: 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 3 1 dp109811_3-huatai.xml FORM 3 X0206 3 2019-07-17 0 0001591587 AssetMark Financial Holdings, Inc. AMK 0001782677 Huatai Securities Co., Ltd. NO. 228 MIDDLE JIANGDONG ROAD NANJING, JIANGSU PROVINCE F4 210019 CHINA 0 0 1 0 0001782596 Huatai International Financial Holdings Co Ltd ROOM 5808-5812, 58/F. THE CENTER, 99 QUEEN'S ROAD CENTRAL HONG KONG F4 00000 CHINA 0 0 1 0 0001782597 Huatai International Investment Holdings Ltd ROOM 5808-5812, 58/F. THE CENTER, 99 QUEEN'S ROAD CENTRAL HONG KONG F4 00000 CHINA 0 0 1 0 0001691721 AssetMark Holdings LLC 1655 GRANT STREET, 10TH FLOOR CONCORD CA 94520 0 0 1 0 Common stock 66150000 I See Footnote These shares are owned directly by AssetMark Holdings LLC. Huatai International Investment Holdings Limited ("HIIHL") is a member of AssetMark Holdings LLC holding 98.6% of the equity interests therein. Huatai International Financial Holdings Company Limited ("HIFHCL") is the sole shareholder of HIIHL. Huatai Securities Co., Ltd. ("HSCL") is the sole shareholder of HIFHCL. Each of HSCL, HIFHCL and HIIHL is an indirect beneficial owner of the reported securities and disclaims beneficial ownership over the reported securities except to the extent of its pecuniary interest. Exhibit List - Exhibit 24.1 - Power of Attorney, Exhibit 24.2 - Power of Attorney /s/ Ted Angus, as Attorney-in-Fact, for Huatai Securities Co., Ltd. 2019-07-17 /s/ Ted Angus, as Attorney-in-Fact, for Huatai International Financial Holdings Company Limited 2019-07-17 /s/ Ted Angus, as Attorney-in-Fact, for Huatai International Investment Holdings Limited 2019-07-17 /s/ Ted Angus, as Attorney-in-Fact, for AssetMark Holdings LLC 2019-07-17 EX-24.1 2 dp109811_ex2401.htm EXHIBIT 24.1

Exhibit 24.1

POWER OF ATTORNEY

Know all by these presents, that each of the undersigned hereby constitutes and appoints each of [Ted Angus], [Sarah Tian] and [Catherine Mesgar] as the undersigned’s true and lawful attorneys-in-fact to:

(1)

execute for and on behalf of such undersigned, in the undersigned’s capacity as a reporting person pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules thereunder of AssetMark Financial Holdings, Inc. (the “Company”), Forms 3, 4 and 5, including any amendments thereto, in accordance with Section 16(a) of the Exchange Act;

(2)

do and perform any and all acts for and on behalf of such undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, complete and execute any amendment or amendments thereto and timely file such form with the United States Securities and Exchange Commission and the applicable stock exchange or similar authority; and

(3)

take any other action of any type whatsoever in connection with the foregoing which, in the opinion of any of such attorneys-in-fact, may be of benefit to, in the best interest of, or legally required by, such undersigned, it being understood that the documents executed by any of such attorneys-in-fact on behalf of any of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as any of such attorneys-in-fact may approve in the discretion of any of such attorneys-in-fact.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that any of such attorneys-in-fact, or the substitute or substitutes of any of such attorneys-in-fact, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted with respect to such undersigned. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect with respect to each of the undersigned until such undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by such undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, each of the undersigned has caused this Power of Attorney or a counterpart hereto to be executed as of this 11^th day of July, 2019.

Huatai Securities Co., Ltd.

/s/ Yi Zhou
By:	Yi Zhou
	Chairman and President


Huatai International Financial Holdings Company Limited

/s/ Lei Wang
By:	Lei Wang
	Director


Huatai International Investment Holdings Limited

/s/ Lei Wang
By:	Lei Wang
	Director

EX-24.2 3 dp109811_ex2402.htm EXHIBIT 24.2

Exhibit 24.2

POWER OF ATTORNEY

Know all by these presents, that the undersigned hereby constitutes and appoints each of Ted Angus, Sarah Tian and Catherine Mesgar as the undersigned’s true and lawful attorneys-in-fact to:

(1)

execute for and on behalf of the undersigned, in the undersigned’s capacity as a reporting person pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules thereunder of AssetMark Financial Holdings, Inc. (the “Company”), Forms 3, 4 and 5, including any amendments thereto, in accordance with Section 16(a) of the Exchange Act;

(2)

do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, complete and execute any amendment or amendments thereto and timely file such form with the United States Securities and Exchange Commission and the applicable stock exchange or similar authority; and

(3)

take any other action of any type whatsoever in connection with the foregoing which, in the opinion of any of such attorneys-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by any of such attorneys-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as any of such attorneys-in-fact may approve in the discretion of any of such attorneys-in-fact.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that any of such attorneys-in-fact, or the substitute or substitutes of any of such attorneys-in-fact, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Exchange Act.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 12^th day of July, 2019.

AssetMark Holdings LLC

/s/ Ted Angus
By:	Ted Angus
	EVP, General Counsel