Natalie Grace Wolfsen - 08 Jun 2023 Form 4 Insider Report for AssetMark Financial Holdings, Inc.

Reporting relationship: EVP, Chief Executive Officer, Director
Issuer ticker: N/A
Reported as of: 08 Jun 2023
Net transaction value: -$255,782
SEC form: 4
Accepted by SEC: 12 Jun 2023, 19:41:06 UTC
Prior SEC filing: 07 Mar 2023
Source filing: View source filing
Reporting owner signature: /s/ Celeste Angelich, as Attorney-in-Fact, for Natalie Grace Wolfsen

Key filing fact

Natalie Grace Wolfsen filed Form 4 for AssetMark Financial Holdings, Inc. on 12 Jun 2023.

Key facts

This page summarizes Natalie Grace Wolfsen's Form 4 filing for AssetMark Financial Holdings, Inc..
5 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 12 Jun 2023, 19:41.

Change

Previous filing in this sequence was filed on 07 Mar 2023.
Current net transaction value: -$255,782.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AMK transaction

Common Stock

Award

Transaction value: $0
Shares: +26,697
Change %: +6.5%
Price: $0.000000
Shares after: 439,268
Date: 08 Jun 2023
Ownership: Direct
Footnotes: F1

AMK transaction

Common Stock

Sale

Transaction value: $215,867
Shares: -7,186
Change %: -1.6%
Price: $30.04
Shares after: 432,082
Date: 08 Jun 2023
Ownership: Direct
Footnotes: F2

AMK transaction

Common Stock

Sale

Transaction value: $39,914
Shares: -1,348
Change %: -0.31%
Price: $29.61
Shares after: 430,734
Date: 09 Jun 2023
Ownership: Direct
Footnotes: F2

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

AMK transaction Derivative

Stock Appreciation Right

Award

Transaction value: $0
Shares: +172,798
Change %
Price: $0.000000
Shares after: 172,798
Date: 08 Jun 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 0
Exercise price: $30.30
Footnotes: F3, F4

AMK transaction Derivative

Stock Appreciation Right

Award

Transaction value: $0
Shares: +56,029
Change %
Price: $0.000000
Shares after: 56,029
Date: 08 Jun 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 56,029
Exercise price: $30.30
Footnotes: F3, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote 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.

Footnote 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.

Footnote F3

The Stock Appreciation Right vests in four equal annual installments on the first four anniversaries of the date of grant.

Footnote F4

Upon exercise, the Stock Appreciation Right will be settled in cash.

Footnote 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.

SEC remarks

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.