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