UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Item 5.07Submission of Matters to a Vote of Security Holders.
At the Company’s 2022 annual meeting of stockholders held on June 6, 2022 (the “Annual Meeting”), the following proposals were submitted to the stockholders of the Company:
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Proposal 1: Election of the Company’s three nominees, Ms. Xiaoning Jiao, Ms. Natalie Wolfsen and Mr. Yi Zhou to the Board of Directors to serve as Class III directors, each for a three-year term expiring at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified. |
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Proposal 2: Ratification of the selection by the Audit Committee of the Board of Directors of KPMG LLP as AssetMark’s independent registered public accounting firm for the fiscal year ending December 31, 2020. |
For more information about the foregoing proposals, see the Company’s definitive proxy statement on Schedule 14A filed with the United States Securities and Exchange Commission on April 25, 2022 (the “Proxy Statement”). Of the 73,594,027 shares of the Company’s common stock entitled to vote at the Annual Meeting, 71,023,144 shares, or approximately 97%, were represented at the meeting in person or by proxy, constituting a quorum. The number of votes cast for, against or withheld, as well as abstentions and broker non-votes, if applicable, in respect of each such proposal is set forth below:
Proposal 1: Election of Class I Directors
The Company’s stockholders elected the following directors to serve as a Class III directors until the 2025 Annual Meeting of Stockholders and until their successor are elected and qualified. The votes regarding the election of the directors were as follows:
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FOR |
WITHHELD |
BROKER NON-VOTE |
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Xiaoning Jiao |
60,094,637 |
8,323,384 |
2,605,123 |
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Natalie Wolfsen |
61,332,800 |
7,085,221 |
2,605,123 |
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Yi Zhou |
53,573,471 |
14,844,550 |
2,605,123 |
Proposal 2: Ratification of Appointment of KPMG LLP
The Company’s stockholders ratified the selection of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2022. The votes regarding this proposal were as follows:
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FOR |
AGAINST |
ABSTAIN |
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71,016,455 |
6,636 |
53 |
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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AssetMark Financial Holdings, Inc. |
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Date: June 7, 2022 |
/s/ Gary Zyla |
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Gary Zyla |
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Chief Financial Officer |
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