Statement of Changes in Beneficial Ownership (4)
21 January 2023 - 09:06AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
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Faust Megan |
2. Issuer Name and Ticker or Trading Symbol
AMKOR TECHNOLOGY, INC.
[
AMKR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CFO |
(Last)
(First)
(Middle)
2045 E INNOVATION CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/19/2023 |
(Street)
TEMPE, AZ 85284
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/19/2023 | | M | | 6000 | A | $9.48 | 14512 | D | |
Common Stock | 1/19/2023 | | S(1) | | 6000 | D | $29.28 (2) | 8512 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Employee Stock Option (Right-to-Buy) | $9.48 | 1/19/2023 | | M | | | 6000 | 2/15/2020 (3) | 2/15/2029 | Common Stock | 6000 | $0.00 | 50500 | D | |
Explanation of Responses: |
(1) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 10, 2022. |
(2) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.86 to $29.62. The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, Amkor Technology, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
(3) | This stock option (the "Option") to acquire 150,000 shares of the Issuer's common stock (the "Option Shares") was granted on February 15, 2019 (the "Grant Date") and vests over four years as follows: (i) with respect to 25% of the Option Shares, on the first anniversary of the Grant Date; and (ii) with respect to the remainder of the Option Shares, in equal quarterly installments thereafter, such that 100% of the Option will vest on the fourth anniversary of the Grant Date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Faust Megan 2045 E INNOVATION CIRCLE TEMPE, AZ 85284 |
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| CFO |
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Signatures
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Mark N. Rogers, Attorney-in-Fact for Megan Faust | | 1/20/2023 |
**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 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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