Mehta Mukesh's Form 4/A amendment
AmendedAssetMark Financial Holdings, Inc. (AMK) · filed Sep 3, 2021
- Accession no.
- 0001209191-21-054694
- Filed
- Sep 3, 2021
- Trade date
- Jun 9-Aug 19, 2021
- Filing delay
- 86 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 1, 2021
This filing lists 3 non-derivative transactions. Open-market sales total $465.4K. It was filed 86 days after the trade.
This amendment replaces 0000950103-21-009934 (filed Jul 1, 2021).
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 9, 2021 | Common Stock | SSaleDisposed | −859 | $25.68 | −$22,059.12 | 318,865 | Direct | |
| Aug 18, 2021 | Common Stock | SSaleDisposed | −15,872 | $27.08F3 | −$429,813.76 | 302,993 | Direct | |
| Aug 19, 2021 | Common Stock | SSaleDisposed | −500 | $27.00 | −$13,500 | 302,493 | 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
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.
- F2
Transaction executed pursuant to a Rule 10b5-1 plan entered into by the Reporting Person.
- F3
These transactions were executed in multiple trades at prices ranging from $27.00 to $27.13. 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
This report on Form 4/A amends the Form 4 filed by the Reporting Person on July 1, 2021. This report on Form 4/A is being filed to report the number of shares of Common Stock that were sold to satisfy tax withholding requirements.