Joel David McNatt JR - Sep 14, 2021 Form 3 Insider Report for AssetMark Financial Holdings, Inc. (AMK)

Role
EVP, Investment Solutions
Signature
/s/ Celeste Angelich, as Attorney-in-Fact, for Joel David McNatt Jr.
Stock symbol
AMK
Transactions as of
Sep 14, 2021
Transactions value $
$0
Form type
3
Date filed
9/24/2021, 06:09 PM
Next filing
Jul 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AMK Common Stock 23.1K Sep 14, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding AMK Employee Stock Option (right to buy) Sep 14, 2021 Common Stock 12.8K $22.00 Direct F2
holding AMK Stock Appreciation Right Sep 14, 2021 Common Stock 9.38K $28.48 Direct F3
holding AMK Stock Appreciation Right Sep 14, 2021 Common Stock 23.3K $25.61 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Consists of restricted stock units granted on June 9, 2020 and June 8, 2021, each of which vest in four equal annual installments on the first four anniversaries of the date of each grant and settle in shares of common stock of the issuer. 2,462 restricted stock units remain unvested under the 2020 grant, and 5,435 restricted stock units remain unvested under the 2021 grant. Also 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 are scheduled to vest on November 18, 2021.
F2 The option was granted on July 17, 2019 and has not been exercised. The final tranche will vest on July 18, 2022.
F3 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.
F4 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.

Remarks:

Exhibit List - Exhibit 24.1 - Power of Attorney