0000950103-19-009517.txt : 20190719 0000950103-19-009517.hdr.sgml : 20190719 20190719205215 ACCESSION NUMBER: 0000950103-19-009517 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190717 FILED AS OF DATE: 20190719 DATE AS OF CHANGE: 20190719 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19964368 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19964369 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19964370 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19964371 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 4 1 dp109939_4-huatai.xml FORM 4 X0306 4 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 2019-07-17 4 J 0 7151201 0 D 0 I By AssetMark Holdings LLC Common stock 58998799 I By Huatai International Investment Holdings Limited AssetMark Holdings LLC ("AH LLC") conducted a distribution of 66,150,000 shares of the Issuer's common stock to AH LLC's members on a pro-rata basis in respect of their respective interests in AH LLC, for no consideration (the "Distribution"). This included a distribution of 58,998,799 shares to Huatai International Investment Holdings Limited ("HIIHL"), which is an exempt transaction pursuant to Securities and Exchange Act Rule 16a-13 as a mere change in form of ownership. The number here reflects the shares distributed to the other members of AH LLC, as to which HIIHL disclaims beneficial ownership. Prior to the Distribution, these shares were owned directly by AH LLC. Following this distribution, AH LLC ceased to own any shares in the Issuer and is no longer subject to Section 16. Prior to the distribution, HIIHL was 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. Accordingly, prior to the Distribution, each of HSCL, HIFHCL and HIIHL was an indirect beneficial owner of the reported securities and disclaimed beneficial ownership over the reported securities except to the extent of its pecuniary interest. Reflects ownership of the shares distributed from AH LLC to HIIHL in the Distribution, in an exempt transaction pursuant to Securities and Exchange Act Rule 16a-13 as a mere change in form of ownership. Following the Distribution, these shares are held directly by HIIHL, and each of HSCL and HIFHCL is an indirect beneficial owner of the reported securities. /s/ Ted Angus, as Attorney-in-Fact, for Huatai Securities Co., Ltd. 2019-07-19 /s/ Ted Angus, as Attorney-in-Fact, for Huatai International Financial Holdings Company Limited 2019-07-19 /s/ Ted Angus, as Attorney-in-Fact, for Huatai International Investment Holdings Limited 2019-07-19 /s/ Ted Angus, as Attorney-in-Fact, for AssetMark Holdings LLC 2019-07-19