Shareholder
Information
Corporate Headquarters
1655 Grant Street, 10th Floor
Concord, CA 94520
925-521-2200
Stock Transfer Agent
Computershare Trust Company, N.A. is the transfer agent for our registered stockholders. They are available to help you with a variety of stockholder-related services.
You may contact them by mail at 250 Royall Street, Canton, Massachusetts 02021-1011, or by calling Shareholder Services at 1-877-830-4932. Additional information can be obtained from their website at https://www-us.computershare.com/.
Independent Registered Public Accounting Firm
550 S Hope Street
Los Angeles, CA 90071
Corporate Governance
Visit our Investor Relations page at ir.assetmark.com to see our key corporate governance documents, including our Corporate Standards, By-Laws, Corporate Governance Guidelines and Whistleblower Policy as well as committee charters for our Audit, Compensation and Nomination & Corporate Governance committees.
Annual Report, Form 10-K and Other Reports and Filings
This 2020 Annual Report is also available online on our Investor Relations page at ir.assetmark.com. Our annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, proxy statement, statements of change in beneficial ownership and other SEC filings and amendments to those reports, statements and filings are available without charge on AssetMark’s website as soon as reasonably practicable after they are filed or furnished electronically with the SEC.
Our Chief Executive Officer and Chief Financial Officer have furnished the Sections 302 and 906 certifications required by the SEC in our annual report on Form 10-K. In addition, our Chief Executive Officer has certified to the New York Stock Exchange (NYSE) that she is not aware of any violation by us of NYSE corporate governance listing standards.
AssetMark Common Stock
The shares of AssetMark Common Stock are listed on the New York Stock Exchange with the symbol AMK.
Annual Meeting
This year’s Annual Meeting of Stockholders will be held on Monday, June 7, 2021, at 1:00 p.m. Pacific Time. We will be hosting the annual meeting live via the Internet at www.virtualshareholdermeeting.com/AMK2021.
Trademarks, Service Marks and Names
The AssetMark name, logo and related trademarks and service marks are owned by AssetMark Financial, Inc., and are registered and/or used in the U.S. All other trademarks, service marks, logos and trade names referenced in this material are the property of their respective owners.
Forward-Looking Statements
This annual report contains forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, including statements regarding our future financial and operating performance, which involve risks and uncertainties. Actual results may differ materially from the results predicted, and reported results should not be considered as an indication of future performance. Forward-looking statements include all statements that are not historical facts and can be identified by terms such as “may,” “might,” “will,” “should,” “expects,” “plans,” “anticipates,” “intends,” “believes,” “estimates,” “predicts,” “potential” or “continue,” the negative of these terms and other comparable terminology that conveys uncertainty of future events or outcomes. These forward-looking statements involve known and unknown risks, uncertainties, assumptions and other factors that may cause actual results to differ materially from statements made in this press release, including in relation to our ability to attract and retain advisors, competition in the industry in which we operate, the interest rate environment, shifting investor preferences, our financial performance, investments in new products, services and capabilities, our ability to execute strategic transactions, legal and regulatory developments and general market, political, economic and business conditions. Other potential risks and uncertainties that could cause actual results to differ from the results predicted include, among others, those risks and uncertainties included under the captions “Risk Factors” and “Management’s Discussion and Analysis of Financial Condition and Results of Operations” in our prospectus dated July 17, 2019, filed with the Securities and Exchange Commission pursuant to Rule 424(b) under the Securities Act of 1933, as amended, and in our Report on Form 10-K for the year ended December 31, 2020. AssetMark disclaims any obligation to update or revise forward-looking statements that may be made to reflect events or circumstances that arise after the date made or to reflect the occurrence of unanticipated events, other than as required by law.