0001591587-24-000077.txt : 20240906 0001591587-24-000077.hdr.sgml : 20240906 20240906160432 ACCESSION NUMBER: 0001591587-24-000077 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240905 FILED AS OF DATE: 20240906 DATE AS OF CHANGE: 20240906 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kim Michael CENTRAL INDEX KEY: 0001782762 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38980 FILM NUMBER: 241284489 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] ORGANIZATION NAME: 02 Finance 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 wk-form4_1725653066.xml FORM 4 X0508 4 2024-09-05 1 0001591587 AssetMark Financial Holdings, Inc. AMK 0001782762 Kim Michael C/O ASSETMARK FINANCIAL HOLDINGS, INC. 1655 GRANT STREET, 10TH FLOOR CONCORD CA 94520 1 1 0 0 CEO and President 0 Common Stock 2024-09-05 4 D 0 355794 35.25 D 0 D Common Stock 2024-09-05 4 D 0 37808 35.25 D 0 I By the Kim Family Charitable Remainder Trust, dated August 24, 2024. Employee Stock Option (right to buy) 2024-09-05 4 D 0 62095 D 2029-07-17 Common Stock 62095 0 D Stock Appreciation Right 2024-09-05 4 D 0 37955 D 2033-06-08 Common Stock 37955 0 D Stock Appreciation Right 2024-09-05 4 D 0 166298 D 2031-06-09 Common Stock 166298 0 D Stock Appreciation Right 2024-09-05 4 D 0 117057 D 2033-06-08 Common Stock 117057 0 D Stock Appreciation Right 2024-09-05 4 D 0 197359 D 2032-06-08 Common Stock 197359 0 D Stock Appreciation Right 2024-09-05 4 D 0 88415 D 2030-06-09 Common Stock 88415 0 D Represents shares disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of April 25, 2024, by and among AssetMark Financial Holdings, Inc., GTCR Everest Borrower, LLC and GTCR Everest Merger Sub, Inc. (the "Merger Agreement"). Pursuant to the Merger Agreement, at the effective time of the merger contemplated thereby (the "Effective Time"), each share of common stock held by the reporting person was converted automatically into the right to receive $35.25 per share in cash (the "Merger Consideration"). Includes shares of common stock underlying restricted stock units. Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit held by the reporting person was canceled and converted automatically into the right to receive the Merger Consideration. Shares held by the Kim Family Charitable Remainder Trust, dated August 24, 2024, of which the Reporting Person and the Reporting Person's spouse are co-trustees. Pursuant to the Merger Agreement, at the Effective Time, each stock option with respect to shares of common stock held by the reporting person was canceled and converted automatically into the right to receive an amount in cash equal to, with respect to each share of common stock underlying such stock option, the excess (if any) of the Merger Consideration over the applicable exercise price. Pursuant to the Merger Agreement, at the Effective Time, each stock appreciation right with respect to shares of common stock held by the reporting person was canceled and converted automatically into the right to receive an amount in cash equal to, with respect to each stock appreciation right, the excess (if any) of the Merger Consideration over the applicable exercise price. /s/ Celeste Angelich, as Attorney-in-Fact, for Michael Kim 2024-09-06