Amended Statement of Changes in Beneficial Ownership (4/a)
03 September 2021 - 9:17PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Hansen Carrie E. |
2. Issuer Name and Ticker or Trading Symbol
AssetMark Financial Holdings, Inc.
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AMK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Chief Operating Officer |
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(Last)
(First)
(Middle)
C/O ASSETMARK FINANCIAL HOLDINGS, INC., 1655 GRANT STREET, 10TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/9/2021 |
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(Street)
CONCORD, CA 94520
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/1/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 6/9/2021 | | S | | 859 (1) | D | $25.68 | 106138 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | 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. |
Remarks:
This report on Form 4/A amends the Form 4 filed by the Reporting Person on July 1, 2021. This report on Form 4/A is being filed to report the number of shares of Common Stock that were sold to satisfy tax withholding requirements. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Hansen Carrie E.
C/O ASSETMARK FINANCIAL HOLDINGS, INC.
1655 GRANT STREET, 10TH FLOOR
CONCORD, CA 94520 |
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| EVP, Chief Operating Officer |
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Signatures
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| /s/ Ted F. Angus, as Attorney-in-Fact, for Carrie E. Hansen | | 9/3/2021 |
| **Signature of Reporting Person | Date |
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