0001209191-23-016810.txt : 20230307 0001209191-23-016810.hdr.sgml : 20230307 20230307165738 ACCESSION NUMBER: 0001209191-23-016810 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230306 FILED AS OF DATE: 20230307 DATE AS OF CHANGE: 20230307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Michael CENTRAL INDEX KEY: 0001782762 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 23713378 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 2023-03-06 0 0001591587 AssetMark Financial Holdings, Inc. AMK 0001782762 Kim Michael C/O ASSETMARK FINANCIAL HOLDINGS, INC. 1655 GRANT STREET, 10TH FLOOR CONCORD CA 94520 0 1 0 0 President & CCO Common Stock 2023-03-06 4 S 0 4044 31.66 D 72550 D 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. These transactions were executed in multiple trades at prices ranging from $31.47 to $31.78. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. 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 Michael Kim 2023-03-07