Mehta Mukesh 的 Form 4/A 修正申報
修正AssetMark Financial Holdings, Inc.（AMK），2021/9/3 申報
- 申報編號
- 0001209191-21-054694
- 申報時間
- 2021/9/3
- 交易日
- 2021/6/9-8/19
- 申報延遲
- 86 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2021/7/1
這份申報列了 3 筆非衍生性交易。公開市場賣出合計 $46.5 萬。交易後 86 天申報。
這份修正申報取代了 0000950103-21-009934（2021/7/1 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Mehta MukeshCIK 0001782585 | 高階主管（執行副總裁、資訊長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/6/9 | Common Stock | S賣出處分 | −859 | $25.68 | −$22,059.12 | 318,865 | 直接 | |
| 2021/8/18 | Common Stock | S賣出處分 | −15,872 | $27.08F3 | −$429,813.76 | 302,993 | 直接 | |
| 2021/8/19 | Common Stock | S賣出處分 | −500 | $27.00 | −$13,500 | 302,493 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 I 有 1 筆交易的價格引用這則附註。
備註
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.