AMK Assetmark Financial

Filed: 8 Dec 20, 7:00am





Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): December 8, 2020


AssetMark Financial Holdings, Inc.
(Exact name of registrant as specified in its charter)





(State or other jurisdiction
of incorporation)

File Number)

(IRS Employer
Identification No.)

1655 Grant Street, 10th Floor

Concord, California


(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):


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

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


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


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.


Item 7.01Regulation FD Disclosure. 

Charles Goldman, Chief Executive Officer, Gary Zyla, Chief Financial Officer, and Taylor Hamilton, Vice President of Investor Relations, of AssetMark Financial Holdings, Inc. (the “Company”) will be providing an overview of the Company and an update on the Company’s financial outlook at the Goldman Sachs 2020 US Financial Services Conference on December 8th and 9th, 2020. The Company will also participate in a group meeting at the BMO 2020 Growth & ESG Conference. A copy of the presentation containing information that may be shared at such conference is attached hereto as Exhibit 99.1 and incorporated herein by reference. From time to time after the date of this Current Report on Form 8-K, the Company may use the presentation attached hereto as Exhibit 99.1 with investors, analysts and others.


The information presented in Items 7.01 and 9.01 of this Current Report on Form 8-K (including Exhibit 99.1 hereto) is being “furnished” and shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor will such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, in each case except as may be expressly set forth by specific reference in such a filing.

Item 9.01

Financial Statements and Exhibits.

Item 9.01(d) – Exhibits

Exhibit Number

Description of Exhibit


AssetMark Investor Presentation dated December 8, 2020.


Pursuant to the requirements of the Exchange Act, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



AssetMark Financial Holdings, Inc.

Date: December 8, 2020

/s/ Charles Goldman


Charles Goldman  
President and Chief Executive Officer