0001591587-23-000025.txt : 20230612 0001591587-23-000025.hdr.sgml : 20230612 20230612194141 ACCESSION NUMBER: 0001591587-23-000025 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: Kim Michael CENTRAL INDEX KEY: 0001782762 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 231009885 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 wk-form4_1686613293.xml FORM 4 X0407 4 2023-06-08 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 0 Common Stock 2023-06-08 4 A 0 18085 0 A 340635 D Common Stock 2023-06-08 4 S 0 4979 30.04 D 335656 D Common Stock 2023-06-09 4 S 0 1348 29.61 D 334308 D Common Stock 1930 I Child Common Stock 41390 I Kim Family Trust Stock Appreciation Right 30.30 2023-06-08 4 A 0 117057 0 A 2033-06-08 Common Stock 0 117057 D Stock Appreciation Right 30.30 2023-06-08 4 A 0 37955 0 A 2033-06-08 Common Stock 37955 37955 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 disclaims beneficial ownership of the shares held directly by his college-aged child, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of the shares held in trust for purposes of Section 16 or for any other purpose. Shares held by The Kim Family Trust, dated July 30, 2016. The Stock Appreciation Right vests in four equal annual installments on the first four anniversaries of the date of grant. Upon exercise, the Stock Appreciation Right will be settled in cash. Upon exercise, the Stock Appreciation Right will be settled, in the Issuer?s discretion, in Common Stock, cash or such other form permitted by the AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan. 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 2023-06-12