Huatai Securities Co., Ltd. - Sep 5, 2024 Form 4 Insider Report for AssetMark Financial Holdings, Inc. (AMK)

Role: 10%+ Owner
Signature: Ted F. Angus, as Attorney-in-Fact, for Huatai Securities Co., Ltd.
Stock symbol: AMK
Transactions as of: Sep 5, 2024
Transactions value $: -$1,793,301,415
Form type: 4
Date filed: 9/6/2024, 04:07 PM

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AMK	Common Stock	Sale	-$1.79B	-50.9M	-100%	$35.25	0	Sep 5, 2024	By Huatai International Investment Holdings Limited	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	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 the Issuer, 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, each share of common stock held by the reporting persons was converted automatically into the right to receive $35.25 per share in cash.
F2	These shares are held directly by Huatai International Investment Holdings Limited ("HIIHL"). Huatai International Financial Holdings Company Limited ("HIFHCL") is the sole shareholder of HIIHL. Huatai Securities Co., Ltd. ("HSCL") is the sole shareholder of HIFHCL. Accordingly, each of HIFHCL and HSCL is an indirect beneficial owner of the reported securities.

Content

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 the Issuer, 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, each share of common stock held by the reporting persons was converted automatically into the right to receive $35.25 per share in cash.

These shares are held directly by Huatai International Investment Holdings Limited ("HIIHL"). Huatai International Financial Holdings Company Limited ("HIFHCL") is the sole shareholder of HIIHL. Huatai Securities Co., Ltd. ("HSCL") is the sole shareholder of HIFHCL. Accordingly, each of HIFHCL and HSCL is an indirect beneficial owner of the reported securities.