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<title>amk-20230605</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:AmendmentFlag" format="ixt:fixed-false" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV80L2ZyYWc6MTc2M2U3MTIzYzYzNGRjYmI1OTEyZGQ5ZTczZGY4MDIvdGFibGU6ZDk3MmZlMjNlMmQ5NDc4YTgxNWFkNWFkZmFkNzNkNmQvdGFibGVyYW5nZTpkOTcyZmUyM2UyZDk0NzhhODE1YWQ1YWRmYWQ3M2Q2ZF8wLTEtMS0xLTEwOQ_c1a5ff8f-3d7d-4e0a-9b70-0f19a1224c3d">false</ix:nonNumeric><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:EntityCentralIndexKey" 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xlink:href="amk-20230605.xsd"></link:schemaRef></ix:references><ix:resources><xbrli:context id="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0001591587</xbrli:identifier></xbrli:entity><xbrli:period><xbrli:startDate>2023-06-05</xbrli:startDate><xbrli:endDate>2023-06-05</xbrli:endDate></xbrli:period></xbrli:context></ix:resources></ix:header></div><div id="i3e9cdecf43d1441298c82a87e080fb39_1"></div><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div style="margin-bottom:1pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:3pt double #000;padding:0 1pt"></td></tr></table></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">UNITED STATES</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">SECURITIES AND EXCHANGE COMMISSION</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">WASHINGTON, D.C. 20549</span></div><div style="margin-bottom:7pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000;padding:0 1pt"></td></tr></table></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:18pt;font-weight:700;line-height:120%">FORM <ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGV4dHJlZ2lvbjowOWIxYjAxNzhmY2E0MzMxYjdkODA2ZjAyZTdmZmNhNl8xMjgw_8f6470c2-af09-4db7-8312-7f979547553c">8-K</ix:nonNumeric></span></div><div style="margin-bottom:7pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000;padding:0 1pt"></td></tr></table></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">CURRENT REPORT</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">Pursuant to Section 13 or 15(d)</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">of the Securities Exchange Act of 1934</span></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%">Date of Report (Date of earliest event reported): </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:DocumentPeriodEndDate" format="ixt:date-monthname-day-year-en" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGV4dHJlZ2lvbjowOWIxYjAxNzhmY2E0MzMxYjdkODA2ZjAyZTdmZmNhNl8xMjgx_02bfa593-cc2f-4e51-9598-06f7dae4ddd0">June 5, 2023</ix:nonNumeric></span></div><div style="margin-bottom:7pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000;padding:0 1pt"></td></tr></table></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:24pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:EntityRegistrantName" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGV4dHJlZ2lvbjowOWIxYjAxNzhmY2E0MzMxYjdkODA2ZjAyZTdmZmNhNl8xMjkw_9c389d49-2f69-4eaa-bfb7-770340382197">AssetMark Financial Holdings, Inc.</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Exact name of registrant as specified in its charter)</span></div><div style="margin-bottom:1pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000;padding:0 1pt"></td></tr></table></div><div style="margin-top:6pt"><table 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New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:120%">(IRS Employer<br/>Identification No.)</span></td></tr></table></div><div style="margin-top:6pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:46.324%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:51.476%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:EntityAddressAddressLine1" 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Floor</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:EntityAddressCityOrTown" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGFibGU6ODRiNWIwODBlMjA1NDI2ZGJhNjJhMmJhMDA5ZTcxZGQvdGFibGVyYW5nZTo4NGI1YjA4MGUyMDU0MjZkYmE2MmEyYmEwMDllNzFkZF8wLTAtMS0xLTEwOS90ZXh0cmVnaW9uOmUxZjM4MzcxZmVkOTQ3MzBiMzBjMGRlZTQ4OGI1MjNmXzEy_1a3baaa6-1bfe-4172-b9be-a417a128dd5f">Concord</ix:nonNumeric>, <ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:EntityAddressStateOrProvince" format="ixt-sec:stateprovnameen" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGFibGU6ODRiNWIwODBlMjA1NDI2ZGJhNjJhMmJhMDA5ZTcxZGQvdGFibGVyYW5nZTo4NGI1YjA4MGUyMDU0MjZkYmE2MmEyYmEwMDllNzFkZF8wLTAtMS0xLTEwOS90ZXh0cmVnaW9uOmUxZjM4MzcxZmVkOTQ3MzBiMzBjMGRlZTQ4OGI1MjNmXzE2_154c9654-2bee-4b00-9dd6-947032a58b77">California</ix:nonNumeric></span></div></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:114%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:EntityAddressPostalZipCode" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGFibGU6ODRiNWIwODBlMjA1NDI2ZGJhNjJhMmJhMDA5ZTcxZGQvdGFibGVyYW5nZTo4NGI1YjA4MGUyMDU0MjZkYmE2MmEyYmEwMDllNzFkZF8wLTEtMS0xLTEwOQ_aa1e50d2-0e16-4fcd-8c08-20640dce9050">94520</ix:nonNumeric></span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:114%">(Address of principal executive offices)</span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:114%">(Zip Code)</span></td></tr></table></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Registrant&#8217;s telephone number, including area code:</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%"> (<ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGV4dHJlZ2lvbjowOWIxYjAxNzhmY2E0MzMxYjdkODA2ZjAyZTdmZmNhNl8xMjgz_ad6dcc12-3e26-4768-8963-b6aa3493d549">925</ix:nonNumeric>) <ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGV4dHJlZ2lvbjowOWIxYjAxNzhmY2E0MzMxYjdkODA2ZjAyZTdmZmNhNl8xMjg1_380ee118-7a71-449f-a7ac-f2120b30ca4e">521-2200</ix:nonNumeric></span></div><div style="margin-top:6pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Not Applicable</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Former name or former address, if changed since last report)</span></div><div style="text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000;padding:0 1pt"></td></tr></table></div><div style="margin-top:6pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</span></div><div style="margin-top:6pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:4.960%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:92.840%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:114%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:WrittenCommunications" format="ixt:fixed-false" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGFibGU6NWExNjhmNjYzNDM5NDk4Zjk4YzdhYzIzYTc3M2RmZGMvdGFibGVyYW5nZTo1YTE2OGY2NjM0Mzk0OThmOThjN2FjMjNhNzczZGZkY18wLTAtMS0xLTEwOQ_f6bb9eaa-801a-4926-895c-2a330c6753c5">o</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:114%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:SolicitingMaterial" format="ixt:fixed-false" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGFibGU6NWExNjhmNjYzNDM5NDk4Zjk4YzdhYzIzYTc3M2RmZGMvdGFibGVyYW5nZTo1YTE2OGY2NjM0Mzk0OThmOThjN2FjMjNhNzczZGZkY18xLTAtMS0xLTEwOQ_5f17246b-64cb-48cd-bc12-5e9b985bbff7">o</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span 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240.13e-4(c))</span></td></tr></table></div><div style="margin-top:6pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Securities registered pursuant to Section 12(b) of the Act:</span></div><div style="margin-top:6pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:35.869%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:0.406%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:21.021%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:0.406%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:38.598%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New 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style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:TradingSymbol" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGFibGU6ZTNkOGVmZTFkMmRkNDk0Y2FhNDY3YTcyZWYzYWU3YzIvdGFibGVyYW5nZTplM2Q4ZWZlMWQyZGQ0OTRjYWE0NjdhNzJlZjNhZTdjMl8xLTItMS0xLTEwOQ_1573f8de-3b87-47b2-bef1-6d4da0a60413">AMK</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:1pt;font-weight:400;line-height:114%">&#160;</span></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:top"><span 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Securities Exchange Act of 1934 (&#167; 240.12b-2 of this chapter).</span></div><div style="margin-top:6pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Emerging growth company </span><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="id3130db8c7e44735b69abe9f153e2584_D20230605-20230605" name="dei:EntityEmergingGrowthCompany" format="ixt:fixed-true" id="id3VybDovL2RvY3MudjEvZG9jOjNlOWNkZWNmNDNkMTQ0MTI5OGM4MmE4N2UwODBmYjM5L3NlYzozZTljZGVjZjQzZDE0NDEyOThjODJhODdlMDgwZmIzOV8xL2ZyYWc6MDliMWIwMTc4ZmNhNDMzMWI3ZDgwNmYwMmU3ZmZjYTYvdGV4dHJlZ2lvbjowOWIxYjAxNzhmY2E0MzMxYjdkODA2ZjAyZTdmZmNhNl8xMjg2_0283009e-a774-483f-b458-a1ed0e29a94b">x</ix:nonNumeric></span></div><div style="margin-top:6pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">If an emerging growth company, 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style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:3pt double #000;padding:0 1pt"></td></tr></table></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="margin-top:12pt;text-align:center"><span><br/></span></div></div></div><div id="i3e9cdecf43d1441298c82a87e080fb39_94"></div><hr style="page-break-after:always"/><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div style="margin-top:10pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 5.03&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.</span></div><div style="margin-top:10pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">On June 5, 2023, AssetMark Financial Holdings, Inc. (the &#8220;Company&#8221;) held its 2023 Annual Meeting of Stockholders (the &#8220;Annual Meeting&#8221;). As further described in Item 5.07 below, the Company&#8217;s stockholders approved an amendment to the Company's Amended and Restated Certificate of Incorporation (the "Certificate of Amendment"), which became effective upon the Company&#8217;s filing of the Certificate of Amendment with the Secretary of State of the State of Delaware on June 6, 2023. A copy of the Certificate of Amendment is attached hereto as Exhibit 3.1 and is incorporated herein by reference.</span></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="margin-top:12pt;text-align:center"><span><br/></span></div></div></div><div id="i3e9cdecf43d1441298c82a87e080fb39_7"></div><hr style="page-break-after:always"/><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div style="margin-top:10pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 5.07&#160;&#160;&#160;&#160;Submission of Matters to a Vote of Security Holders.</span></div><div style="margin-top:10pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">At the Company's Annual Meeting, the following proposals were submitted to the stockholders of the Company:</span></div><div style="margin-top:10pt;padding-left:36pt;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">Proposal 1: Election of the Company&#8217;s three nominees, Mr. Rohit Bhagat, Mr. Bryan Lin and Mr. Lei Wang to the Board of Directors to serve as Class I directors, each for a three-year term expiring at the 2026 Annual Meeting of Stockholders and until their successors are elected and qualified.</span></div><div style="margin-top:10pt;padding-left:36pt;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">Proposal 2: Ratification of  the selection by the Audit and Risk Committee of the Board of Directors of KPMG LLP as the Company&#8217;s independent registered public accounting firm for the fiscal year ending December 31, 2023.</span></div><div style="margin-top:10pt;padding-left:36pt;text-indent:-18pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#8226;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;padding-left:14.5pt">Proposal 3: Approval of an amendment to the Company's Amended and Restated Certificate of Incorporation.</span></div><div style="margin-top:10pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">For more information about the foregoing proposals, see the Company&#8217;s definitive proxy statement on Schedule 14A filed with the United States Securities and Exchange Commission on April 17, 2023 (the &#8220;Proxy Statement&#8221;). Of the 73,924,212 shares of the Company&#8217;s common stock entitled to vote at the Annual Meeting, 71,500,716 shares, or approximately 97%, were represented at the meeting in person or by proxy, constituting a quorum. The number of votes cast for, against or withheld, as well as abstentions and broker non-votes, if applicable, in respect of each such proposal is set forth below:</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Proposal 1: Election of Class I Directors</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">The Company&#8217;s stockholders elected the following directors to serve as a Class I directors until the 2026 Annual Meeting of Stockholders and until their successors are elected and qualified. The votes regarding the election of the directors were as follows:</span></div><div><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">FOR</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">WITHHELD</span></td><td colspan="3" style="border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">BROKER NON-VOTE</span></td></tr><tr><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Rohit Bhagat</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">60,398,094</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">9,059,242</span></td><td colspan="3" style="border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,043,380</span></td></tr><tr><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Bryan Lin</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">57,068,243</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">12,389,093</span></td><td colspan="3" style="border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,043,380</span></td></tr><tr><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Lei Wang</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">61,983,389</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">7,473,947</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,043,380</span></td></tr></table></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Proposal 2: Ratification of Appointment of KPMG LLP</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">The Company&#8217;s stockholders ratified the selection of KPMG LLP as the Company&#8217;s independent registered public accounting firm for the fiscal year ending December 31, 2023. The votes regarding this proposal were as follows:</span></div><div><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:32.233%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:32.233%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:32.234%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">FOR</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">AGAINST</span></td><td colspan="3" style="border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">ABSTAIN</span></td></tr><tr><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">71,470,634</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">29,797</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">285</span></td></tr></table></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%"> </span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">Proposal 3: Amendment to Amended and Restated Certificate of Incorporation</span></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">The Company's stockholders approved the Certificate of Amendment. The votes regarding this proposal were as follows:</span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:23.900%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">FOR</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">AGAINST</span></td><td colspan="3" style="border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">ABSTAIN</span></td><td colspan="3" style="border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">BROKER NON-VOTE</span></td></tr><tr><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">57,902,029</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">11,554,932</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">375</span></td><td colspan="3" style="border-bottom:1pt solid #000;border-left:1pt solid #000;border-right:1pt solid #000;border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Arial',sans-serif;font-size:10pt;font-weight:400;line-height:100%">2,043,380</span></td></tr></table></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">2</span></div></div></div><div id="i3e9cdecf43d1441298c82a87e080fb39_10"></div><hr style="page-break-after:always"/><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div style="-sec-extract:summary;margin-top:10pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">Item 9.01&#160;&#160;&#160;&#160;Financial Statements and Exhibits.</span></div><div style="margin-top:10pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:120%">(d) &#8211; Exhibits</span></div><div style="margin-top:10pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:14.506%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:0.406%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:82.688%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">Exhibit<br/>Number</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">Description of Exhibit</span></td></tr><tr style="height:6pt"><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3.1</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline" href="certificateofamendment.htm">Certificate of Amendment to the Amended and Restated Certificate of Incorporation of AssetMark Financial Holdings, Inc.</a></span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">104</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Cover Page Interactive Data File (embedded within the Inline XBRL document).</span></td></tr></table></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="-sec-extract:summary;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">3</span></div></div></div><div id="i3e9cdecf43d1441298c82a87e080fb39_13"></div><hr style="page-break-after:always"/><div style="min-height:45pt;width:100%"><div><span><br/></span></div></div><div style="margin-top:10pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%">SIGNATURE</span></div><div style="margin-top:10pt;text-indent:49.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</span></div><div style="margin-top:10pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:48.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:48.900%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%">AssetMark Financial Holdings, Inc.</span></td></tr><tr style="height:8pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%">Date: June 7, 2023</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%">/s/ Gary Zyla</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%">Gary Zyla</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:114%">Chief Financial Officer</span></td></tr></table></div><div style="height:45pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">4</span></div></div></div></body></html>
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{"company-data": {"conformed-name": "AssetMark Financial Holdings, Inc.", "cik": "0001591587", "assigned-sic": "6282", "irs-number": "300774039", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-38980", "film-number": "23999019"}, "business-address": {"street1": "1655 GRANT STREET, 10TH FLOOR", "city": "CONCORD", "state": "CA", "zip": "94520", "phone": "800-664-5345"}, "mail-address": {"street1": "1655 GRANT STREET, 10TH FLOOR", "city": "CONCORD", "state": "CA", "zip": "94520"}, "former-company": {"former-conformed-name": "AqGen Liberty Management II, Inc.", "date-changed": "20131108"}}
amk-20230605
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
June 5, 2023
AssetMark Financial Holdings, Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-38980
30-0774039
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
1655 Grant Street
,
10th Floor
Concord
,
California
94520
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code:
(
925
)
521-2200
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading
Symbol(s)
Name of each exchange on which registered
Common stock, $0.001 par value
AMK
The New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company
x
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
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Item 5.03        Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On June 5, 2023, AssetMark Financial Holdings, Inc. (the "Company") held its 2023 Annual Meeting of Stockholders (the "Annual Meeting"). As further described in Item 5.07 below, the Company's stockholders approved an amendment to the Company's Amended and Restated Certificate of Incorporation (the "Certificate of Amendment"), which became effective upon the Company's filing of the Certificate of Amendment with the Secretary of State of the State of Delaware on June 6, 2023. A copy of the Certificate of Amendment is attached hereto as Exhibit 3.1 and is incorporated herein by reference.
Item 5.07    Submission of Matters to a Vote of Security Holders.
At the Company's Annual Meeting, the following proposals were submitted to the stockholders of the Company:
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Proposal 1: Election of the Company's three nominees, Mr. Rohit Bhagat, Mr. Bryan Lin and Mr. Lei Wang to the Board of Directors to serve as Class I directors, each for a three-year term expiring at the 2026 Annual Meeting of Stockholders and until their successors are elected and qualified.
•
Proposal 2: Ratification of  the selection by the Audit and Risk Committee of the Board of Directors of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2023.
•
Proposal 3: Approval of an amendment to the Company's Amended and Restated Certificate of Incorporation.
For more information about the foregoing proposals, see the Company's definitive proxy statement on Schedule 14A filed with the United States Securities and Exchange Commission on April 17, 2023 (the "Proxy Statement"). Of the 73,924,212 shares of the Company's common stock entitled to vote at the Annual Meeting, 71,500,716 shares, or approximately 97%, were represented at the meeting in person or by proxy, constituting a quorum. The number of votes cast for, against or withheld, as well as abstentions and broker non-votes, if applicable, in respect of each such proposal is set forth below:
Proposal 1: Election of Class I Directors
The Company's stockholders elected the following directors to serve as a Class I directors until the 2026 Annual Meeting of Stockholders and until their successors are elected and qualified. The votes regarding the election of the directors were as follows:
FOR
WITHHELD
BROKER NON-VOTE
Rohit Bhagat
60,398,094
9,059,242
2,043,380
Bryan Lin
57,068,243
12,389,093
2,043,380
Lei Wang
61,983,389
7,473,947
2,043,380
Proposal 2: Ratification of Appointment of KPMG LLP
The Company's stockholders ratified the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2023. The votes regarding this proposal were as follows:
FOR
AGAINST
ABSTAIN
71,470,634
29,797
285
Proposal 3: Amendment to Amended and Restated Certificate of Incorporation
The Company's stockholders approved the Certificate of Amendment. The votes regarding this proposal were as follows:
FOR
AGAINST
ABSTAIN
BROKER NON-VOTE
57,902,029
11,554,932
375
2,043,380
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Item 9.01    Financial Statements and Exhibits.
(d) – Exhibits
Exhibit
Number
Description of Exhibit
3.1
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of AssetMark Financial Holdings, Inc.
104
Cover Page Interactive Data File (embedded within the Inline XBRL document).
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
AssetMark Financial Holdings, Inc.
Date: June 7, 2023
/s/ Gary Zyla
Gary Zyla
Chief Financial Officer
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