John Hahn - Jul 17, 2019 Form 4 Insider Report for AssetMark Financial Holdings, Inc. (AMK)

Role
SVP, Finance & Reporting (PAO)
Signature
/s/ Ted F. Angus, as Attorney-in-Fact, for John Hahn
Stock symbol
AMK
Transactions as of
Jul 17, 2019
Transactions value $
-$969,502
Form type
4
Date filed
2/9/2022, 05:56 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMK Common Stock Award $0 +40.1K $0.00 40.1K Jul 17, 2019 Direct F1
transaction AMK Common Stock Award $0 +3.28K +8.19% $0.00 43.3K Jun 9, 2020 Direct F2
transaction AMK Common Stock Sale -$61.1K -2.23K -5.13% $27.48 41.1K Jun 10, 2020 Direct F3
transaction AMK Common Stock Sale -$61.5K -2.23K -5.41% $27.66 38.9K Jun 10, 2020 Direct F3
transaction AMK Common Stock Sale -$62.3K -2.23K -5.72% $28.01 36.7K Jun 10, 2020 Direct F3
transaction AMK Common Stock Options Exercise $93.5K +4.25K +11.6% $22.00 40.9K Jul 20, 2020 Direct F3
transaction AMK Common Stock Sale -$119K -4.25K -10.39% $28.00 36.7K Jul 20, 2020 Direct F3
transaction AMK Common Stock Sale -$167K -6.68K -18.21% $25.01 30K Feb 5, 2021 Direct F3
transaction AMK Common Stock Sale -$19.6K -800 -2.67% $24.53 29.2K Mar 8, 2021 Direct
transaction AMK Common Stock Sale -$408K -16.6K -57% $24.50 12.5K Mar 9, 2021 Direct
transaction AMK Common Stock Sale -$63.6K -2.59K -20.64% $24.55 9.96K Mar 10, 2021 Direct
transaction AMK Common Stock Award $0 +3.4K +34.12% $0.00 13.4K Jun 8, 2021 Direct F2
transaction AMK Common Stock Sale -$7.73K -301 -2.25% $25.68 13.1K Jun 11, 2021 Direct F4

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
transaction AMK Employee Stock Option (right to buy) Options Exercise -$93.5K -4.25K -33.33% $22.00 8.51K Jul 20, 2020 Common Stock 4.25K $22.00 Direct F5
transaction AMK Stock Appreciation Right Award $0 +9.7K $0.00 9.7K Jun 8, 2021 Common Stock 9.7K $25.61 Direct F6
transaction AMK Stock Appreciation Right Award $0 +9.38K $0.00 9.38K Jun 9, 2020 Common Stock 9.38K $28.48 Direct F7
transaction AMK Employee Stock Option (right to buy) Award $0 +12.8K $0.00 12.8K Jul 17, 2019 Common Stock 12.8K $22.00 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.