UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM
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CURRENT REPORT
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| Item 5.07 | Submission of Matters to a Vote of Security Holders. |
At the 2021 Annual Meeting of Stockholders of AssetMark Financial Holdings, Inc. (the ”Company”) held on June 7, 2021 (the “Annual Meeting”), the following proposals were submitted to the stockholders of the Company:
| · | Proposal 1: Election of Directors. The Board of Directors of the Company (the “Board”) asked the stockholders to vote “FOR” the election of each of Ms. Patricia Guinn, Ms. Ying Sun and Mr. Joseph Velli, the Company’s director nominees, to serve as Class II directors, each for a three-year term expiring at the 2024 Annual Meeting of Stockholders and until their successors are elected and qualified. |
| · | Proposal 2: Independent Registered Public Accounting Firm. The Board asked the stockholders to vote “FOR” the ratification of the selection of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. |
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 29, 2021 (the “Proxy Statement”). Of the 72,459,255 shares of the Company’s common stock entitled to vote at the Annual Meeting, 71,248,957 shares, or approximately 98.3%, 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 Directors
The Company’s stockholders elected the following directors to serve as a Class II directors until the 2024 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 | |
| Patricia Guinn | 66,326,903 | 2,628,894 | 2,293,160 |
| Ying Sun | 63,478,429 | 5,477,368 | 2,293,160 |
| Joseph Velli | 66,348,755 | 2,607,042 | 2,293,160 |
Proposal 2: Independent Registered Public Accounting Firm
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, 2021. The votes regarding this proposal were as follows:
| For | Against | Abstain |
| 71,114,191 | 91,994 | 42,772 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
AssetMark Financial Holdings, Inc.
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| Date: June 10, 2021 |
/s/ Natalie Wolfsen |
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Natalie Wolfsen Chief Executive Officer |