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 15, 2021
____________________________
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):
| ☐ | 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 |
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 ☒
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 7.01 | Regulation FD Disclosure. |
Natalie Wolfsen (Chief Executive Officer), Michael
Kim (President), Gary Zyla (Chief Financial Officer) and Carrie Hansen (Chief Operating Officer) of AssetMark Financial Holdings, Inc.
(the “Company”) will be providing an overview of the Company and an update on the Company’s business to certain research
analysts on June 15, 2021. A copy of the presentation that will be presented 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
SIGNATURES
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: June 15, 2021 |
/s/ Natalie Wolfsen |
| |
Natalie Wolfsen
Chief Executive Officer |
