0001209191-20-034215.txt : 20200603 0001209191-20-034215.hdr.sgml : 20200603 20200603183955 ACCESSION NUMBER: 0001209191-20-034215 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200601 FILED AS OF DATE: 20200603 DATE AS OF CHANGE: 20200603 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: 20941386 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-06-01 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 2020-06-01 4 S 0 5134 25.28 D 523494 D Common Stock 2020-06-01 4 S 0 2800 26.42 D 520694 D These transactions were executed in multiple trades at prices ranging from $24.85 to $25.82. 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 $26.42 to $26.51. 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 2020-06-03