SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person* Huatai Securities Co., Ltd. (Last) (First) (Middle) NO. 228 MIDDLE JIANGDONG ROAD (Street) NANJING, JIANGSU PROVINCE F4 210019 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 07/17/2019	3. Issuer Name and Ticker or Trading Symbol AssetMark Financial Holdings, Inc. [ AMK ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner Officer (give title below) Other (specify below)	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person X Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common stock	66,150,000	I	See Footnote(1)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

1. Name and Address of Reporting Person* Huatai Securities Co., Ltd. (Last) (First) (Middle) NO. 228 MIDDLE JIANGDONG ROAD (Street) NANJING, JIANGSU PROVINCE F4 210019 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer Director X 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* Huatai International Financial Holdings Co Ltd (Last) (First) (Middle) ROOM 5808-5812, 58/F. THE CENTER, 99 QUEEN'S ROAD CENTRAL (Street) HONG KONG F4 00000 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer Director X 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* Huatai International Investment Holdings Ltd (Last) (First) (Middle) ROOM 5808-5812, 58/F. THE CENTER, 99 QUEEN'S ROAD CENTRAL (Street) HONG KONG F4 00000 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer Director X 10% Owner Officer (give title below) Other (specify below)

1. Name and Address of Reporting Person* AssetMark Holdings LLC (Last) (First) (Middle) 1655 GRANT STREET, 10TH FLOOR (Street) CONCORD CA 94520 (City) (State) (Zip) Relationship of Reporting Person(s) to Issuer Director X 10% Owner Officer (give title below) Other (specify below)

Explanation of Responses:

1. These shares are owned directly by AssetMark Holdings LLC. Huatai International Investment Holdings Limited ("HIIHL") is a member of AssetMark Holdings LLC holding 98.6% of the equity interests therein. Huatai International Financial Holdings Company Limited ("HIFHCL") is the sole shareholder of HIIHL. Huatai Securities Co., Ltd. ("HSCL") is the sole shareholder of HIFHCL. Each of HSCL, HIFHCL and HIIHL is an indirect beneficial owner of the reported securities and disclaims beneficial ownership over the reported securities except to the extent of its pecuniary interest.

Remarks:

Exhibit List - Exhibit 24.1 - Power of Attorney, Exhibit 24.2 - Power of Attorney

	/s/ Ted Angus, as Attorney-in-Fact, for Huatai Securities Co., Ltd.	07/17/2019
	/s/ Ted Angus, as Attorney-in-Fact, for Huatai International Financial Holdings Company Limited	07/17/2019
	/s/ Ted Angus, as Attorney-in-Fact, for Huatai International Investment Holdings Limited	07/17/2019
	/s/ Ted Angus, as Attorney-in-Fact, for AssetMark Holdings LLC	07/17/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
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