Filing Details
- Accession Number:
- 0001591587-23-000026
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-06-12 19:42:19
- Reporting Period:
- 2023-06-08
- Accepted Time:
- 2023-06-12 19:42:19
- SEC Url:
- Form 4 Filing
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 |
|---|---|---|---|---|---|---|---|
| 1782589 | G. Gary Zyla | C/O Assetmark Financial Holdings, Inc. 1655 Grant Street, 10Th Floor Concord CA 94520 | Evp, Chief Financial Officer | 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-06-08 | 15,157 | $0.00 | 104,754 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2023-06-08 | 3,318 | $30.04 | 101,436 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-06-09 | 855 | $29.61 | 100,581 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Right | Acquisiton | 2023-06-08 | 15,905 | $0.00 | 15,905 | $30.30 |
| Common Stock | Stock Appreciation Right | Acquisiton | 2023-06-08 | 49,052 | $0.00 | 0 | $30.30 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,905 | 2033-06-08 | No | 4 | A | Direct | |
| 49,052 | 2033-06-08 | No | 4 | A | Direct |
Footnotes
- 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.
- 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.
- Upon exercise, the Stock Appreciation Right will be settled in cash.
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