0000950103-20-004965.txt : 20200309 0000950103-20-004965.hdr.sgml : 20200309 20200309202041 ACCESSION NUMBER: 0000950103-20-004965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200305 FILED AS OF DATE: 20200309 DATE AS OF CHANGE: 20200309 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldman Charles G CENTRAL INDEX KEY: 0001311478 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 20699632 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 dp123619_4-goldman.xml FORM 4 X0306 4 2020-03-05 0 0001591587 AssetMark Financial Holdings, Inc. AMK 0001311478 Goldman Charles G C/O ASSETMARK FINANCIAL HOLDINGS, INC. 1655 GRANT STREET, 10TH FLOOR CONCORD CA 94520 1 1 0 0 President and CEO Common stock 2020-03-05 4 S 0 4700 25.95 D 2460081 D Common stock 2020-03-06 4 S 0 13413 25.30 D 2446668 D Common stock 2020-03-09 4 S 0 8874 22.66 D 2437794 D Common stock 2020-03-09 4 S 0 6840 23.60 D 2430954 D Common stock 2020-03-09 4 S 0 3460 24.36 D 2427494 D Common stock 310608 I By LLC / trust These transactions were executed in multiple trades at prices ranging from $25.55 to $26.28. 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 $25.00 to $25.75. 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 $22.11 to $23.10. 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 $23.11 to $24.09. 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 $24.26 to $24.61. 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. Reflects securities held by an LLC of which the reporting person is the manager. The sole member of the LLC is a revocable trust of which the reporting person is the settlor. 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 Charles G. Goldman 2020-03-09