0001209191-20-063315.txt : 20201214 0001209191-20-063315.hdr.sgml : 20201214 20201214184042 ACCESSION NUMBER: 0001209191-20-063315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201214 FILED AS OF DATE: 20201214 DATE AS OF CHANGE: 20201214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Michael CENTRAL INDEX KEY: 0001782762 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 201387658 MAIL ADDRESS: STREET 1: C/O ASSETMARK FINANCIAL HOLDINGS, INC. STREET 2: 1655 GRANT STREET, 10TH FLOOR CITY: CONCORD STATE: CA ZIP: 94520 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 2020-12-14 0 0001591587 AssetMark Financial Holdings, Inc. AMK 0001782762 Kim Michael C/O ASSETMARK FINANCIAL HOLDINGS, INC. 1655 GRANT STREET, 10TH FLOOR CONCORD CA 94520 0 1 0 0 EVP, Chief Client Officer Common Stock 2020-12-14 4 S 0 18652 23.87 D 306081 D Common Stock 2020-12-14 4 S 0 2042 24.43 D 304039 D These transactions were executed in multiple trades at prices ranging from $23.24 to $24.23. 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 $24.27 to $24.72. 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 Michael Kim 2020-12-14