Wolfsen Natalie Grace 4

4 · AssetMark Financial Holdings, Inc. · Filed Jun 12, 2023

Form 4

Period: 2023-06-08

EVP, Chief Solutions Officer

Transactions

Award
Common Stock
2023-06-08+26,697→ 439,268 total
Sale
Common Stock
2023-06-08$30.04/sh−7,186$215,867→ 432,082 total
Sale
Common Stock
2023-06-09$29.61/sh−1,348$39,914→ 430,734 total
Award
Stock Appreciation Right
2023-06-08+172,798→ 172,798 total
Exercise: $30.30Exp: 2033-06-08→ Common Stock (0 underlying)
Award
Stock Appreciation Right
2023-06-08+56,029→ 56,029 total
Exercise: $30.30Exp: 2033-06-08→ Common Stock (56,029 underlying)

Footnotes (5)

[F1]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.
[F2]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. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees.
[F3]The Stock Appreciation Right vests in four equal annual installments on the first four anniversaries of the date of grant.
[F4]Upon exercise, the Stock Appreciation Right will be settled in cash.
[F5]Upon exercise, the Stock Appreciation Right will be settled, in the Issuer?s discretion, in Common Stock, cash or such other form permitted by the AssetMark Financial Holdings, Inc. 2019 Equity Incentive Plan.

Documents

1 file