0001209191-22-036177.txt : 20220610 0001209191-22-036177.hdr.sgml : 20220610 20220610205205 ACCESSION NUMBER: 0001209191-22-036177 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220608 FILED AS OF DATE: 20220610 DATE AS OF CHANGE: 20220610 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: 221010500 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 doc4.xml FORM 4 SUBMISSION X0306 4 2022-06-08 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 0 1 0 0 EVP, Chief Executive Officer Common Stock 2022-06-08 4 A 0 30700 0.00 A 422725 D Common Stock 2022-06-09 4 S 0 3227 20.00 D 419498 D Common Stock 2022-06-10 4 S 0 1383 19.06 D 418115 D Stock Appreciation Right 20.92 2022-06-08 4 A 0 263145 0.00 A 2032-06-08 Common Stock 263145 263145 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. 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 2022-06-10 EX-24 2 poa.txt POA DOCUMENT POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Ted F. Angus, Celeste Angelich, and James Yen 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 23 day of May, 2022. Signature: /s/ Natalie Grace Wolfsen Print Name: Natalie Grace Wolfsen