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
  1. 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.
  2. 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.
  3. The Stock Appreciation Right vests in four equal annual installments on the first four anniversaries of the date of grant.
  4. 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.
  5. Upon exercise, the Stock Appreciation Right will be settled in cash.