Home > Insider Trading > Filing (0001209191-22-008206)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1591587	Assetmark Financial Holdings Inc.	AMK	Investment Advice (6282)	300774039

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1905161	John Hahn	1655 Grant Street 10Th Floor Concord CA 94520	Svp, Finance & Reporting (Pao)	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2019-07-17	40,050	$0.00	40,050	No	4	A	Direct
Common Stock	Acquisiton	2020-06-09	3,282	$0.00	43,332	No	4	A	Direct
Common Stock	Disposition	2020-06-10	2,225	$27.48	41,107	No	4	S	Direct
Common Stock	Disposition	2020-06-10	2,225	$27.66	38,882	No	4	S	Direct
Common Stock	Disposition	2020-06-10	2,225	$28.01	36,657	No	4	S	Direct
Common Stock	Acquisiton	2020-07-20	4,252	$22.00	40,909	No	4	M	Direct
Common Stock	Disposition	2020-07-20	4,252	$28.00	36,657	No	4	S	Direct
Common Stock	Disposition	2021-02-05	6,675	$25.01	29,982	No	4	S	Direct
Common Stock	Disposition	2021-03-08	800	$24.53	29,182	No	4	S	Direct
Common Stock	Disposition	2021-03-09	16,635	$24.50	12,547	No	4	S	Direct
Common Stock	Disposition	2021-03-10	2,590	$24.55	9,957	No	4	S	Direct
Common Stock	Acquisiton	2021-06-08	3,397	$0.00	13,354	No	4	A	Direct
Common Stock	Disposition	2021-06-11	301	$25.68	13,053	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	A	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	A	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2020-07-20	4,252	$22.00	4,252	$22.00
Common Stock	Stock Appreciation Right	Acquisiton	2021-06-08	9,701	$0.00	9,701	$25.61
Common Stock	Stock Appreciation Right	Acquisiton	2020-06-09	9,377	$0.00	9,377	$28.48
Common Stock	Employee Stock Option (right to buy)	Acquisiton	2019-07-17	12,758	$0.00	12,758	$22.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
8,506	2029-07-17	No	4	M	Direct
9,701	2031-06-08	No	4	A	Direct
9,377	2030-06-09	No	4	A	Direct
12,758	2029-07-17	No	4	A	Direct

Footnotes

Consists of shares subject to a Share Restriction Agreement with the Issuer that provides for transfer of all or a portion of the shares to the Issuer in the event of termination of employment prior to designated release dates. The final tranche of shares under the Share Restriction Agreement vested on November 18, 2021.
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.
This transaction was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person.
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 option, representing a right to purchase a total of 12,758 shares, became exerciseable in four equal installments beginning on July 18, 2020, which was the first anniversary of the date on which the option was granted.
The stock appreciation right was granted on June 8, 2021 and vests in four equal annual installments on the first four anniversaries of the grant date.
The stock appreciation right was granted on June 9, 2020 and vests in four equal annual installments on the first four anniversaries of the grant date. The first tranche of the grant has vested.