Minta-Jacobs Esi's Form 4/A amendment
AmendedAssetMark Financial Holdings, Inc. (AMK) · filed Jul 7, 2022
- Accession no.
- 0001209191-22-041482
- Filed
- Jul 7, 2022
- Trade date
- Jun 8-10, 2022
- Filing delay
- 29 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jun 10, 2022
This filing lists 3 non-derivative transactions. It carries over 1 transaction from the original filing that it did not restate. Open-market sales total $16.0K. It was filed 29 days after the trade.
This amendment restates part of 0001209191-22-036179 (filed Jun 10, 2022). 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 |
|---|---|
| Minta-Jacobs EsiCIK 0001806039 | Officer (EVP, HR & Project Management) |
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 8, 2022 | Common Stock | AGrant or awardAcquired | +6,141 | $0.00 | $0 | 65,409 | Direct | |
| Jun 9, 2022 | Common Stock | SSaleDisposed | −505 | $20.00 | −$10,100 | 64,904 | Direct | |
| Jun 10, 2022 | Common Stock | SSaleDisposed | −308 | $19.06 | −$5,870.48 | 64,596 | 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 0001209191-22-036179 (filed Jun 10, 2022).
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 8, 2022 | Common Stock | AGrant or awardAcquired | +26,315 | $0.00 | $0 | 26,315 | 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
The amount of restricted stock units that were granted was incorrectly disclosed. This amendment corrects the number of restricted stock units that were granted from 6,140 to 6,141.
- F2
The amount of shares beneficially owned was incorrectly disclosed due to a calculation error. This amendment corrects the number of beneficially owned shares following the reported transaction from 66,992 to 65,409.
- F3
The amount of shares beneficially owned was incorrectly disclosed due to a calculation error. This amendment corrects the number of beneficially owned shares following the reported transaction from 66,487 to 64,904.
- F4
The amount of shares beneficially owned was incorrectly disclosed due to a calculation error. This amendment corrects the number of beneficially owned shares following the reported transaction from 66,179 to 64,596.
Remarks
This Form 4/A is being amended to (i) correct a calculation error in column 5, and (ii) correct the restricted stock unit grants previously reported on the reporting person's Form 4 filed with the Securities and Exchange Commission on June 10, 2022, which differs by 1 share, due to a rounding error.