Hahn John 4

Accession 0001209191-22-008206

CIK 0001591587other

View on SEC.gov Company Profile

Filed

Feb 8, 7:00 PM ET

Accepted

Feb 9, 6:56 PM ET

Size

33.9 KB

Accession

0001209191-22-008206

Insider Transaction Report

Form 4

Period: 2019-07-17

AssetMark Financial Holdings, Inc.AMK

Hahn John

SVP, Finance & Reporting (PAO)

Transactions

Award
Common Stock
2020-06-09+3,282→ 43,332 total
Award
Common Stock
2019-07-17+40,050→ 40,050 total
Sale
Common Stock
2020-06-10$27.48/sh−2,225$61,143→ 41,107 total
Sale
Common Stock
2020-06-10$27.66/sh−2,225$61,544→ 38,882 total
Sale
Common Stock
2020-07-20$28.00/sh−4,252$119,056→ 36,657 total
Sale
Common Stock
2021-03-08$24.53/sh−800$19,624→ 29,182 total
Award
Common Stock
2021-06-08+3,397→ 13,354 total
Award
Stock Appreciation Right
2021-06-08+9,701→ 9,701 total
Exercise: $25.61Exp: 2031-06-08→ Common Stock (9,701 underlying)
Award
Stock Appreciation Right
2020-06-09+9,377→ 9,377 total
Exercise: $28.48Exp: 2030-06-09→ Common Stock (9,377 underlying)
Sale
Common Stock
2020-06-10$28.01/sh−2,225$62,322→ 36,657 total
Exercise/Conversion
Common Stock
2020-07-20$22.00/sh+4,252$93,544→ 40,909 total
Sale
Common Stock
2021-02-05$25.01/sh−6,675$166,942→ 29,982 total
Sale
Common Stock
2021-03-10$24.55/sh−2,590$63,585→ 9,957 total
Sale
Common Stock
2021-06-11$25.68/sh−301$7,730→ 13,053 total
Award
Employee Stock Option (right to buy)
2019-07-17+12,758→ 12,758 total
Exercise: $22.00Exp: 2029-07-17→ Common Stock (12,758 underlying)
Sale
Common Stock
2021-03-09$24.50/sh−16,635$407,558→ 12,547 total
Exercise/Conversion
Employee Stock Option (right to buy)
2020-07-20$22.00/sh−4,252$93,544→ 8,506 total
Exercise: $22.00Exp: 2029-07-17→ Common Stock (4,252 underlying)

Footnotes (7)

[F1]Consists of shares subject to a Share Restriction Agreement with the Issuer that provides for transfer of all or a portion of the shares to the Issuer in the event of termination of employment prior to designated release dates. The final tranche of shares under the Share Restriction Agreement vested on November 18, 2021.
[F2]Consists of restricted stock units that vest in four equal annual installments on the first four anniversaries of the date of grant and settle in shares of common stock of the issuer.
[F3]This transaction was executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person.
[F4]Reflects the number of shares of Common Stock that were sold to satisfy tax withholding requirements on vesting of restricted stock units pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's RSU Agreement, and does not represent a discretionary sale by the Reporting Person.
[F5]The option, representing a right to purchase a total of 12,758 shares, became exerciseable in four equal installments beginning on July 18, 2020, which was the first anniversary of the date on which the option was granted.
[F6]The stock appreciation right was granted on June 8, 2021 and vests in four equal annual installments on the first four anniversaries of the grant date.
[F7]The stock appreciation right was granted on June 9, 2020 and vests in four equal annual installments on the first four anniversaries of the grant date. The first tranche of the grant has vested.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

AssetMark Financial Holdings, Inc.

CIK 0001591587

→

Entity typeother

Related Parties

filerCIK 0001905161

Filing Metadata

Form type: 4
Filed: Feb 8, 7:00 PM ET
Accepted: Feb 9, 6:56 PM ET
Size: 33.9 KB

View on SEC.gov