Initial Statement of Beneficial Ownership (3)
25 September 2021 - 12:10AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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McNatt Joel David JR |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/14/2021
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3. Issuer Name and Ticker or Trading Symbol
AssetMark Financial Holdings, Inc. [AMK]
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(Last)
(First)
(Middle)
1655 GRANT STREET, 10TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP, Investment Solutions / |
(Street)
CONCORD, CA 94520
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 23082 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | (2) | 7/17/2029 | Common Stock | 12758 | $22.00 | D | |
Stock Appreciation Right | (3) | 6/9/2030 | Common Stock | 9377 | $28.48 | D | |
Stock Appreciation Right | (4) | 6/9/2031 | Common Stock | 23282 | $25.61 | D | |
Explanation of Responses: |
(1) | Consists of restricted stock units granted on June 9, 2020 and June 8, 2021, each of which vest in four equal annual installments on the first four anniversaries of the date of each grant and settle in shares of common stock of the issuer. 2,462 restricted stock units remain unvested under the 2020 grant, and 5,435 restricted stock units remain unvested under the 2021 grant. Also 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 are scheduled to vest on November 18, 2021. |
(2) | The option was granted on July 17, 2019 and has not been exercised. The final tranche will vest on July 18, 2022. |
(3) | 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. |
(4) | 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. |
Remarks: Exhibit List - Exhibit 24.1 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McNatt Joel David JR 1655 GRANT STREET, 10TH FLOOR CONCORD, CA 94520 |
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| EVP, Investment Solutions |
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Signatures
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/s/ Celeste Angelich, as Attorney-in-Fact, for Joel David McNatt Jr. | | 9/24/2021 |
**Signature of Reporting Person | Date |
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