0001591587-23-000020.txt : 20230612 0001591587-23-000020.hdr.sgml : 20230612 20230612190702 ACCESSION NUMBER: 0001591587-23-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230608 FILED AS OF DATE: 20230612 DATE AS OF CHANGE: 20230612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McNatt Joel David JR CENTRAL INDEX KEY: 0001884460 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 231009794 MAIL ADDRESS: STREET 1: C/O ASSETMARK FINANCIAL HOLDINGS INC. STREET 2: 1655 GRANT ST 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 wk-form4_1686611208.xml FORM 4 X0407 4 2023-06-08 0 0001591587 AssetMark Financial Holdings, Inc. AMK 0001884460 McNatt Joel David JR C/O ASSETMARK FINANCIAL HOLDINGS, INC. 1655 GRANT STREET, 10TH FLOOR CONCORD CA 94520 0 1 0 0 EVP, Investment Solutions 0 Common Stock 2023-06-08 4 A 0 29280 0 A 62075 D Common Stock 2023-06-08 4 S 0 1456 30.04 D 60619 D Common Stock 2023-06-09 4 S 0 300 29.61 D 60319 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 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 Joel David McNatt Jr. 2023-06-12