Kim Michael's Form 4/A amendment
AmendedAssetMark Financial Holdings, Inc. (AMK) · filed Sep 3, 2021
- Accession no.
- 0001209191-21-054695
- Filed
- Sep 3, 2021
- Trade date
- Jun 9, 2021
- Filing delay
- 86 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 1, 2021
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $24.3K. It was filed 86 days after the trade.
This amendment restates part of 0000950103-21-009931 (filed Jul 1, 2021). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Kim MichaelCIK 0001782762 | Officer (EVP, Chief Client 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 | −945 | $25.68 | −$24,267.6 | 357,628 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000950103-21-009931 (filed Jul 1, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 9, 2021 | Common stock | AGrant or awardAcquired | +19,410 | $0.00 | $0 | 358,573 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 9, 2021 | Common Stock | AGrant or awardAcquired | +166,298 | $0.00 | $0 | 166,298 | 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.
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.