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

Role
SVP, Finance & Reporting (PAO)
Signature
/s/ Ted F. Angus, as Attorney-in-Fact, for John Hahn
Issuer symbol
N/A
Transactions as of
17 Jul 2019
Net transactions value
-$969,502
Form type
4
Filing time
09 Feb 2022, 17:56:04 UTC
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AMK Common Stock Award $0 +40,050 $0.000000 40,050 17 Jul 2019 Direct F1
transaction AMK Common Stock Award $0 +3,282 +8.2% $0.000000 43,332 09 Jun 2020 Direct F2
transaction AMK Common Stock Sale $61,143 -2,225 -5.1% $27.48 41,107 10 Jun 2020 Direct F3
transaction AMK Common Stock Sale $61,544 -2,225 -5.4% $27.66 38,882 10 Jun 2020 Direct F3
transaction AMK Common Stock Sale $62,322 -2,225 -5.7% $28.01 36,657 10 Jun 2020 Direct F3
transaction AMK Common Stock Options Exercise $93,544 +4,252 +12% $22.00 40,909 20 Jul 2020 Direct F3
transaction AMK Common Stock Sale $119,056 -4,252 -10% $28.00 36,657 20 Jul 2020 Direct F3
transaction AMK Common Stock Sale $166,942 -6,675 -18% $25.01 29,982 05 Feb 2021 Direct F3
transaction AMK Common Stock Sale $19,624 -800 -2.7% $24.53 29,182 08 Mar 2021 Direct
transaction AMK Common Stock Sale $407,558 -16,635 -57% $24.50 12,547 09 Mar 2021 Direct
transaction AMK Common Stock Sale $63,584 -2,590 -21% $24.55 9,957 10 Mar 2021 Direct
transaction AMK Common Stock Award $0 +3,397 +34% $0.000000 13,354 08 Jun 2021 Direct F2
transaction AMK Common Stock Sale $7,730 -301 -2.3% $25.68 13,053 11 Jun 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 $93,544 -4,252 -33% $22.00 8,506 20 Jul 2020 Common Stock 4,252 $22.00 Direct F5
transaction AMK Stock Appreciation Right Award $0 +9,701 $0.000000 9,701 08 Jun 2021 Common Stock 9,701 $25.61 Direct F6
transaction AMK Stock Appreciation Right Award $0 +9,377 $0.000000 9,377 09 Jun 2020 Common Stock 9,377 $28.48 Direct F7
transaction AMK Employee Stock Option (right to buy) Award $0 +12,758 $0.000000 12,758 17 Jul 2019 Common Stock 12,758 $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.