Statement of Changes in Beneficial Ownership (4)
22 January 2022 - 3:39AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
KIM JAMES J |
2. Issuer Name and Ticker or Trading Symbol
AMKOR TECHNOLOGY, INC.
[
AMKR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) __X__ Other (specify below)
Member of 10% owner group (7) |
|
(Last)
(First)
(Middle)
C/O SIANA CARR O'CONNOR & LYNAM,, 1500 EAST LANCASTER AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/14/2021 |
|
(Street)
PAOLI, PA 19301-9713
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 7/14/2021 | | G |
V
| 271895 (1) | D | $23.15 | 2728105 (6) | I | By Susan Y. Kim 2020-1 GRAT |
| Common Stock | 10/4/2021 | | G |
V
| 626192 (2) | D | $24.70 | 626192 (6) | I | By James J. Kim 2018-1 GRAT |
| Common Stock | 10/4/2021 | | G |
V
| 626192 (3) | D | $24.70 | 0 | I | By James J. Kim 2018-1 GRAT |
| Common Stock | 12/27/2021 | | G |
V
| 164678 (4) | A | $23.45 | 164678 (6) | I | By Susan Y. Kim 2012 Generation-Skipping Trust |
| Common Stock | | | | | | | | 1866552 | D | |
| Common Stock | | | | | | | | 1855776 (6) | I | By spouse |
| Common Stock | | | | | | | | 6430381 (5)(6) | I | By James J. Kim GRATs |
| Common Stock | | | | | | | | 11408075 (5)(6) | I | By trusts (excl. JJK GRATs, Susan Y. Kim 2020-1 GRAT & Susan Y. Kim 2012 Generation-Skipping Trust) |
| Common Stock | | | | | | | | 49594980 (6) | I | By 915 Investments, LP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | On July 14, 2021, the Qualified Annuity Trust Under the Susan Y. Kim 2020-1 Irrevocable Trust Agreement Dated 04/01/20 distributed 271,895 shares of the Issuer's Common Stock to Susan Y. Kim. Susan Y. Kim and the reporting person are the co-trustees of the trust. The reporting person and Susan Y. Kim are father and daughter. |
| (2) | On October 4, 2021, the Qualified Annuity Trust under the James J. Kim 2018-1 Qualified Annuity Trust Agreement dtd 8/30/18 distributed 626,192 shares of the Issuer's Common Stock to Susan Y. Kim. The reporting person and Susan Y. Kim are the co-trustees of the trust. |
| (3) | On October 4, 2021, the Qualified Annuity Trust under the James J. Kim 2018-1 Qualified Annuity Trust Agreement dtd 8/30/18 distributed 626,192 shares of the Issuer's Common Stock to John T. Kim. The reporting person and John T. Kim are father and son. |
| (4) | On December 27, 2021, Susan Y. Kim transferred 164,678 shares of the Issuer's Common Stock to Susins, LLC. Susins, LLC is being treated as a corporation for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"). The Susan Y. Kim 2012 Generation-Skipping Trust Dated December 11, 2012 is being treated as a controlling shareholder of Susins, LLC. The reporting person is a trustee of said trust and members of his immediate family are beneficiaries thereof. The reporting person's indirect holding of these 164,678 shares of the Issuer's Common Stock was inadvertently omitted from his Form 4 that was filed with the Commission on January 4, 2022. |
| (5) | The reporting person is (i) a trustee of family trusts for the benefit of his immediate family members that own shares of the Issuer's Common Stock and (ii) a trustee of grantor retained annuity trusts of which he was the settlor and is the sole annuitant which own such shares. |
| (6) | Pursuant to the Form 4 instructions, the reporting person is being treated as having a pecuniary interest in all of the shares held by these trusts and partnerships. The reporting person disclaims beneficial ownership of these securities, except to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of the reporting person's pecuniary interest therein, for purposes of Section 16, or for any other purpose. |
Remarks:
7. The reporting person states that the filing of this Form 4 shall not be deemed an admission that the reporting person is the beneficial owner of the reported securities owned by the other members of the group, for the purpose of Section 16, or for any other purpose. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
KIM JAMES J
C/O SIANA CARR O'CONNOR & LYNAM,
1500 EAST LANCASTER AVENUE
PAOLI, PA 19301-9713 | X | X |
| Member of 10% owner group (7) |
Signatures
|
| /s/ Richard D. Rosen, Attorney-in-Fact | | 1/20/2022 |
| **Signature of Reporting Person | Date |
Amkor Technology (NASDAQ:AMKR)
Historical Stock Chart
From Mar 2024 to Apr 2024
Amkor Technology (NASDAQ:AMKR)
Historical Stock Chart
From Apr 2023 to Apr 2024
