Mehta Mukesh's Form 4 filing
AssetMark Financial Holdings, Inc. (AMK) · filed Nov 12, 2021
- Accession no.
- 0001209191-21-064334
- Filed
- Nov 12, 2021
- Trade date
- Nov 10-12, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $841.1K. It was filed 2 days after the trade.
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2021 | Common Stock | SSaleDisposed | −27,937 | $28.04F1 | −$783,353.48 | 265,179 | Direct | |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −1,456 | $28.01F2 | −$40,782.56 | 263,723 | Direct | |
| Nov 12, 2021 | Common Stock | SSaleDisposed | −607 | $28.01F3 | −$17,002.07 | 263,116 | 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 $28.00 to $28.75. 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.
- F2
These transactions were executed in multiple trades at prices ranging from $28.00 to $28.03. 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.
- F3
These transactions were executed in multiple trades at prices ranging from $28.00 to $28.05. 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.