Mehta Mukesh's Form 4 filing
AssetMark Financial Holdings, Inc. (AMK) · filed Sep 2, 2021
- Accession no.
- 0001209191-21-054580
- Filed
- Sep 2, 2021
- Trade date
- May 7-8, 2020
- Filing delay
- 483 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market sales total $500.5K. It was filed 483 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Mehta MukeshCIK 0001782585 | Officer (EVP, Chief Information Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 7, 2020 | Common Stock | SSaleDisposed | −6,800 | $25.00 | −$170,000 | 363,254 | Direct | |
| May 8, 2020 | Common Stock | SSaleDisposed | −13,200 | $25.04F1 | −$330,528 | 350,054 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
These transactions were executed in multiple trades at prices ranging from $25.00 to $25.93. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
Remarks
All transactions were executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person.