Mukesh Mehta Transfers Shares of AssetMark Financial Holdings Inc (AMK) — SEC Form 4, Sep 06, 2024

SEC Form 4 · No Market Transaction
Gift

Transfer of shares as a gift.

Reporting Owner
Mukesh Mehta
EVP
TXN 2024-09-05 · FILED 2024-09-06
Equity Position 0 sh 304,791 → 0
Equity Change -100.0% shares held after vs before
Filing Lag 1 business day within 2-day SEC deadline
Form 4 · Statement of Changes in Beneficial Ownership

AssetMark Financial Holdings Inc

AMK CIK 0001591587
All AssetMark Financial Holdings Inc insider activity
Filing Date
2024-09-06
Report Date
2024-09-03
Accession No.
0001591587-24-000081
Accepted At
2024-09-06 20:06 UTC
Reporting Owner
Name Relationship
Mukesh Mehta CIK 0001782585
EVP
Mukesh Mehta at AssetMark Financial Holdings Inc Full insider history
Bought (12 mo) —
Sold (12 mo) —
More from this insider at AssetMark Financial Holdings Inc
2024-08-15 Gift/Other — View
2024-06-11 Sell -$305,461 View
2023-06-12 Sell -$124,989 View
2022-06-10 Sell -$48,416 View
2021-11-12 Sell -$841,138 View
All filings by this insider at AssetMark Financial Holdings Inc
Non-Derivative Securities Transactions
Title Date Type Shares Price Net Total Post-Txn Ownership
Common StockF1F2 2024-09-03 G - Gift 182,165 D $0.00 — 80,286 Indirect By Mehta Living Trust
Common StockF3 2024-09-03 G - Gift 182,165 A $0.00 — 224,505 Direct
Common StockF4F5 2024-09-05 D - Return to Issuer 224,505 D $35.25 -$7,913,801 0 Direct
Common StockF4F2 2024-09-05 D - Return to Issuer 80,286 D $35.25 -$2,830,082 0 Indirect By Mehta Living Trust
Derivative Securities Transactions
Title Strike Date Type Shares Price Expiration Underlying Ownership
Employee Stock Option (right to buy)F6F6F6 2024-09-05 D - Return to Issuer 62,095 D 2029-07-17 62,095 Common Stock Direct
Stock Appreciation RightF7F7F7 2024-09-05 D - Return to Issuer 80,377 D 2030-06-09 80,377 Common Stock Direct
Stock Appreciation RightF7F7F7 2024-09-05 D - Return to Issuer 73,171 D 2031-06-09 73,171 Common Stock Direct
Stock Appreciation RightF7F7F7 2024-09-05 D - Return to Issuer 82,703 D 2032-06-08 82,703 Common Stock Direct
Footnotes (7)
F1
Shares transferred from the Mehta Living Trust, dated March 4, 2022 to the Reporting Person. Show more
F2
Shares held by the Mehta Living Trust dated March 4, 2022, of which both the Reporting Person and his spouse are co-trustees. Show more
F3
Represents shares acquired by the Reporting Person. Show more
F4
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 AssetMark Financial Holdings, Inc., 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 (the "Effective Time"), each share of common stock held by the reporting person was converted automatically into the right to receive $35.25 per share in cash (the "Merger Consideration"). Show more
F5
Includes shares of common stock underlying restricted stock units. Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit held by the reporting person was canceled and converted automatically into the right to receive the Merger Consideration. Show more
F6
Pursuant to the Merger Agreement, at the Effective Time, each stock option with respect to shares of common stock held by the reporting person was canceled and converted automatically into the right to receive an amount in cash equal to, with respect to each share of common stock underlying such stock option, the excess (if any) of the Merger Consideration over the applicable exercise price. Show more
F7
Pursuant to the Merger Agreement, at the Effective Time, each stock appreciation right with respect to shares of common stock held by the reporting person was canceled and converted automatically into the right to receive an amount in cash equal to, with respect to each stock appreciation right, the excess (if any) of the Merger Consideration over the applicable exercise price. Show more

Related filings at AssetMark Financial Holdings Inc

Institutional Holders
13F holders · Sep 30, 2024 1 institutional managers reporting a position
Largest by reported value
  1. Ronald Blue Trust, Inc. $4.7K
Other insiders at AssetMark Financial Holdings Inc
All AssetMark Financial Holdings Inc insider activity
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