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