ASSETMARK FINANCIAL HOLDINGS, INC. [__] Shares of Common Stock Underwriting AgreementUnderwriting Agreement • July 10th, 2019 • AssetMark Financial Holdings, Inc. • Investment advice • New York
AssetMark Financial Holdings, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters listed in Schedule 1 hereto (the “Underwriters”), for whom you are acting as representatives (the “Representatives”), an aggregate of [__] shares of common stock, par value $0.001 per share (the “Common Stock”), of the Company, and the stockholder of the Company named in Schedule 2 hereto (the “Selling Stockholder”) proposes to sell to the several Underwriters an aggregate of [__] shares of Common Stock of the Company (collectively, the “Underwritten Shares”). In addition, the Selling Stockholder proposes to sell, at the option of the Underwriters, up to an additional [__] shares of Common Stock of the Company (the “Option Shares”). The Underwritten Shares and the Option Shares are herein referred to as the “Shares.” The shares of Common Stock of the Company to be outstanding after giving effect to the sale of the Shares are referred to herein as the “Stock
ASSETMARK FINANCIAL HOLDINGS, INC. STOCK OPTION AWARD NOTICE AND AGREEMENTStock Option Award Notice and Agreement • July 10th, 2019 • AssetMark Financial Holdings, Inc. • Investment advice • California
This Stock Option Award Notice and Agreement (the “Option Agreement”) is made as of the Date of Grant set forth below, by and between AssetMark Financial Holdings, Inc. (the “Company”) and the individual recipient identified in the Notice below (the “Recipient”).
