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AMK AssetMark Financial Holdings Inc

33.81
0.02 (0.06%)
After Hours
Last Updated: 21:12:39
Delayed by 15 minutes
Share Name Share Symbol Market Type
AssetMark Financial Holdings Inc NYSE:AMK NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.02 0.06% 33.81 33.885 33.77 33.84 604,280 21:12:39

Statement of Changes in Beneficial Ownership (4)

29/05/2020 10:49pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Minta-Jacobs Esi
2. Issuer Name and Ticker or Trading Symbol

AssetMark Financial Holdings, Inc. [ AMK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EVP, HR & Project Management
(Last)          (First)          (Middle)

C/O ASSETMARK FINANCIAL HOLDINGS, INC., 1655 GRANT STREET, 10TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

5/27/2020
(Street)

CONCORD, CA 94520
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 5/27/2020  S  3710 D$27.03 (1)48645 D  
Common Stock 5/28/2020  S  1000 D$27.03 (2)47645 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) These transactions were executed in multiple trades at prices ranging from $27.00 to $27.21. 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.
(2) These transactions were executed in multiple trades at prices ranging from $27.00 to $ 27.10. 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.

Remarks:
All transactions were executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Minta-Jacobs Esi
C/O ASSETMARK FINANCIAL HOLDINGS, INC.
1655 GRANT STREET, 10TH FLOOR
CONCORD, CA 94520


EVP, HR & Project Management

Signatures
/s/ Sarah Tian, as Attorney-in-Fact, for Esi Minta-Jacobs5/29/2020
**Signature of Reporting PersonDate

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