Assetmark Financial (AMK) Environmental, Social & Governance (ESG) Data

Employees

Data from SEC filings

Employee count

ESG framework mentions

In last year of SEC filings

Sustainability Accounting Standards Board (SASB)

No mentions

Global Reporting Initiative (GRI)

No mentions

Task Force on Climate-related Financial Disclosures (TCFD)

No mentions

UN Sustainable Development Goals (SDGs)

No mentions

ESG term mentions

In last year of SEC filings

Climate Conservation Ecosystem Environment Environmental Life Cycle Lifecycle Materials Natural Resources Nature Offset Package Pandemic Access African American Attrition Benefits Black California Consumer Privacy Act Charitable Community Culture Customer Cyber Cybersecurity Data Privacy Data Security Death Disability Diversity Diversity and Inclusion Employee Employee Engagement Employee Retention Engagement Ethnicity Gender General Data Protection Regulation Health and Safety Healthcare Hire Hiring Hispanic Human Capital Human Resources Incident Injury Minority Perquisites Privacy Recruit Reimbursement Retention Retirement Safety Satisfaction Sexual Harassment Skill Skilled Skills Social Society Stakeholder Supplier Talent Training Union Women Workforce Assessment Assurance Attorney General Audit Bonus Class Action Lawsuit Classified Commitment Conflict of Interest Corporate Governance Corporate Purpose Corruption Department of Enterprise Risk Management ESG Ethics Executive Compensation Expert Fraud Goals Governance Hedging Incentive Incentivize Independence Independent Innovate Innovation Innovative Investigation Key Performance Indicator KPI Lawsuit Leadership Litigation Long-term Majority Materiality Mission Oversee Oversight Perquisite Plaintiff Pledging Proxy Contest Purpose Reputation Reputational Research and Development Resilient Responsibility Responsible Self-evaluation Strategy Sustainability Sustainable Targets Tax Tenure Transparent

Shareholder alignment

Proxy contests and exempt solicitations in last 3 years

No recent proxy contest or exempt solicitation filings from shareholders.

Vote support at last AGM

At the Company’s 2022 annual meeting of stockholders held on June 6, 2022 (the “Annual Meeting”), the following proposals were submitted to the stockholders of the Company:

•

Proposal 1: Election of the Company’s three nominees, Ms. Xiaoning Jiao, Ms. Natalie Wolfsen and Mr. Yi Zhou to the Board of Directors to serve as Class III directors, each for a three-year term expiring at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified.

•

Proposal 2: Ratification of the selection by the Audit Committee of the Board of Directors of KPMG LLP as AssetMark’s independent registered public accounting firm for the fiscal year ending December 31, 2020.

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 25, 2022 (the “Proxy Statement”). Of the 73,594,027 shares of the Company’s common stock entitled to vote at the Annual Meeting, 71,023,144 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 III directors until the 2025 Annual Meeting of Stockholders and until their successor are elected and qualified. The votes regarding the election of the directors were as follows:

	FOR	WITHHELD	BROKER NON-VOTE

Xiaoning Jiao	60,094,637	8,323,384	2,605,123
Natalie Wolfsen	61,332,800	7,085,221	2,605,123
Yi Zhou	53,573,471	14,844,550	2,605,123

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, 2022. The votes regarding this proposal were as follows:


FOR	AGAINST	ABSTAIN
71,016,455	6,636	53