Hahn John's Form 4 filing
AssetMark Financial Holdings, Inc. (AMK) · filed Feb 9, 2022
- Accession no.
- 0001209191-22-008206
- Filed
- Feb 9, 2022
- Trade date
- Jul 17, 2019-Jun 11, 2021
- Filing delay
- 938 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 4 derivative transactions. Open-market sales total $969.5K. It was filed 938 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 |
|---|---|
| Hahn JohnCIK 0001905161 | Officer (SVP, Finance & Reporting (PAO)) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 17, 2019 | Common Stock | AGrant or awardAcquired | +40,050 | $0.00 | $0 | 40,050 | Direct | |
| Jun 9, 2020 | Common Stock | AGrant or awardAcquired | +3,282 | $0.00 | $0 | 43,332 | Direct | |
| Jun 10, 2020 | Common Stock | SSaleDisposed | −2,225 | $27.48 | −$61,143 | 41,107 | Direct | |
| Jun 10, 2020 | Common Stock | SSaleDisposed | −2,225 | $27.66 | −$61,543.5 | 38,882 | Direct | |
| Jun 10, 2020 | Common Stock | SSaleDisposed | −2,225 | $28.01 | −$62,322.25 | 36,657 | Direct | |
| Jul 20, 2020 | Common Stock | MOption exerciseAcquired | +4,252 | $22.00 | +$93,544 | 40,909 | Direct | |
| Jul 20, 2020 | Common Stock | SSaleDisposed | −4,252 | $28.00 | −$119,056 | 36,657 | Direct | |
| Feb 5, 2021 | Common Stock | SSaleDisposed | −6,675 | $25.01 | −$166,941.75 | 29,982 | Direct | |
| Mar 8, 2021 | Common Stock | SSaleDisposed | −800 | $24.53 | −$19,624 | 29,182 | Direct | |
| Mar 9, 2021 | Common Stock | SSaleDisposed | −16,635 | $24.50 | −$407,557.5 | 12,547 | Direct | |
| Mar 10, 2021 | Common Stock | SSaleDisposed | −2,590 | $24.55 | −$63,584.5 | 9,957 | Direct | |
| Jun 8, 2021 | Common Stock | AGrant or awardAcquired | +3,397 | $0.00 | $0 | 13,354 | Direct | |
| Jun 11, 2021 | Common Stock | SSaleDisposed | −301 | $25.68 | −$7,729.68 | 13,053 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 20, 2020 | Common Stock | MOption exerciseDisposed | −4,252 | $22.00 | −$93,544 | 8,506 | Direct | |
| Jun 8, 2021 | Common Stock | AGrant or awardAcquired | +9,701 | $0.00 | $0 | 9,701 | Direct | |
| Jun 9, 2020 | Common Stock | AGrant or awardAcquired | +9,377 | $0.00 | $0 | 9,377 | Direct | |
| Jul 17, 2019 | Common Stock | AGrant or awardAcquired | +12,758 | $0.00 | $0 | 12,758 | 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.
No transaction price on this filing refers to a footnote.