0000950103-20-004664.txt : 20200304 0000950103-20-004664.hdr.sgml : 20200304 20200304203833 ACCESSION NUMBER: 0000950103-20-004664 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200302 FILED AS OF DATE: 20200304 DATE AS OF CHANGE: 20200304 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: 20689295 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 dp123295_4-chafkin.xml FORM 4 X0306 4 2020-03-02 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 2020-03-02 4 S 0 2200 25.47 D 550230 D Common stock 2020-03-02 4 S 0 1705 26.16 D 548525 D Common stock 2020-03-03 4 S 0 4029 26.43 D 544496 D These transactions were executed in multiple trades at prices ranging from $25.04 to $25.98. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. These transactions were executed in multiple trades at prices ranging from $26.04 to $26.39. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. These transactions were executed in multiple trades at prices ranging from $26.18 to $26.61. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. All transactions were executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person. /s/ Sarah Tian, as Attorney-in-Fact, for Jeremiah H. Chafkin 2020-03-04