0000950103-19-009661.txt : 20190724 0000950103-19-009661.hdr.sgml : 20190724 20190724192413 ACCESSION NUMBER: 0000950103-19-009661 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190722 FILED AS OF DATE: 20190724 DATE AS OF CHANGE: 20190724 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: 19972096 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: 19972097 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: 19972098 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 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 dp110101_4-huatai.xml FORM 4 X0306 4 2019-07-22 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 Common stock 2019-07-22 4 S 0 8125000 20.57 D 50873799 I By Huatai International Investment Holdings Limited These shares are held directly by Huatai International Investment Holdings Limited ("HIIHL"). Huatai International Finance Limited ("HIFL") is the sole shareholder of HIIHL. Huatai Financial Holdings (Hong Kong) Limited ("HFHHKL") is the sole shareholder of HIFL. Huatai International Financial Holdings Company Limited ("HIFHCL") is the sole shareholder of HFHHKL. Huatai Securities Co., Ltd. ("HSCL") is the sole shareholder of HIFHCL. Accordingly, each of HSCL, HIFHCL, HFHHKL and HIFL is an indirect beneficial owner of the reported securities. In prior reports by the reporting persons with respect to the issuer on Form 3 dated July 17, 2019 and on Form 4 dated July 19, 2019, HIFHCL was described as the sole shareholder of HIIHL. As of July 17, 2019, the date covered in those reports, and as of the date covered in this report, HIFHCL's ownership of HIIHL was indirect, by way of HFHHKL and HIFL. /s/ Sarah Tian, as Attorney-in-Fact, for Huatai Securities Co., Ltd. 2019-07-24 /s/ Sarah Tian, as Attorney-in-Fact, for Huatai International Financial Holdings Company Limited 2019-07-24 /s/ Sarah Tian, as Attorney-in-Fact, for Huatai International Investment Holdings Limited 2019-07-24