0000950103-19-009519.txt : 20190719 0000950103-19-009519.hdr.sgml : 20190719 20190719205606 ACCESSION NUMBER: 0000950103-19-009519 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190717 FILED AS OF DATE: 20190719 DATE AS OF CHANGE: 20190719 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chafkin Jeremiah H CENTRAL INDEX KEY: 0001311476 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 19964375 MAIL ADDRESS: STREET 1: C/O THE CHARLES SCHWAB CORPORATION STREET 2: 120 KEARNY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AssetMark Financial Holdings, Inc. CENTRAL INDEX KEY: 0001591587 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 300774039 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1655 GRANT STREET, 10TH FLOOR CITY: CONCORD STATE: CA ZIP: 94520 BUSINESS PHONE: 800-664-5345 MAIL ADDRESS: STREET 1: 1655 GRANT STREET, 10TH FLOOR CITY: CONCORD STATE: CA ZIP: 94520 FORMER COMPANY: FORMER CONFORMED NAME: AqGen Liberty Management II, Inc. DATE OF NAME CHANGE: 20131108 4 1 dp109941_4-chafkin.xml FORM 4 X0306 4 2019-07-17 0 0001591587 AssetMark Financial Holdings, Inc. AMK 0001311476 Chafkin Jeremiah H C/O ASSETMARK FINANCIAL HOLDINGS, INC. 1655 GRANT STREET, 10TH FLOOR CONCORD CA 94520 0 1 0 0 EVP, Chief Investment Officer Common stock 2019-07-17 4 J 0 552430 0 A 552430 D Employee Stock Option (right to buy) 22.00 2019-07-17 4 A 0 62095 0 A 2029-07-17 Common stock 62095 62095 D Received in a distribution by AssetMark Holdings LLC ("AH LLC") to its members on a pro-rata basis in respect of their respective interests in AH LLC, for no consideration. Includes 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. This option vests in three equal annual installments beginning on July 19, 2020. /s/ Ted Angus, as Attorney-in-Fact, for Jeremiah H. Chafkin 2019-07-19