FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AMKOR TECHNOLOGY, INC. [ AMKR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/01/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 07/01/2021 | G | V | 174,810(1) | D | $23.37 | 1,028,132(1)(11) | I | By John T. Kim GRAT dtd 2/6/18 | |
Common Stock | 09/01/2021 | G | V | 163,200(2) | D | $27.71 | 1,401,123(11) | I | By James J. Kim GRAT dtd 4/1/20 | |
Common Stock | 10/01/2021 | G | V | 328,350(3) | D | $25.11 | 1,252,384(11) | I | By James J. Kim GRAT dtd 8/30/18 | |
Common Stock | 10/04/2021 | G | V | 626,192(4) | D | $24.7 | 626,192(11) | I | By James J. Kim GRAT dtd 8/30/18 | |
Common Stock | 10/04/2021 | G | V | 626,192(5) | D | $24.7 | 0 | I | By James J. Kim GRAT dtd 8/30/18 | |
Common Stock | 10/04/2021 | G | V | 626,192(5) | A | $24.7 | 5,414,562 | D | ||
Common Stock | 12/15/2021 | G | V | 1,756,427(6) | A | $24.68 | 1,756,427(11) | I | By James J. Kim GRAT dtd 12/15/21 | |
Common Stock | 12/15/2021 | G | V | 596,920(7) | D | $24.68 | 2,675,911(11) | I | By James J. Kim GRAT dtd 9/10/19 | |
Common Stock | 12/15/2021 | G | V | 596,920(8) | A | $24.68 | 2,353,347(11) | I | By James J. Kim GRAT dtd 12/15/21 | |
Common Stock | 12/27/2021 | G | V | 164,678(9) | D | $23.45 | 5,249,884 | D | ||
Common Stock | 4,350,148(10)(11) | I | By Susan Y. Kim GRATs | |||||||
Common Stock | 9,016,820(10)(11) | I | By trusts (excl. GRATs) | |||||||
Common Stock | 19,484,809(11) | I | By Sujochil, LP | |||||||
Common Stock | 2,478,325(11) | I | By Sujoda Investments, LP | |||||||
Common Stock | 8,200,000(10)(11)(12)(13)(14) | I | By LLCs treated as corporations |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 1, 2021, the John T. Kim 2018 Qualified Annuity Trust under the John T. Kim 2018 Irrevocable Trust Agreement dated 2/6/18 distributed 174,810 shares of the Issuer's Common Stock to John T. Kim. John T. Kim and the reporting person are the co-trustees of the trust. John T. Kim and the reporting person are siblings. The reporting person inadvertently omitted the 1,028,132 shares of the Issuer's Common Stock held by the John T. Kim GRAT dtd 2/6/18 from her indirect holdings reported on her Form 4 filed with the Commission on January 4, 2022. |
2. On September 1, 2021, the James J. Kim 2020-1 Qualified Annuity Trust under the James J. Kim 2020-1 Qualified Annuity Trust Agreement dated 04/01/2021 distributed 163,200 shares of the Issuer's Common Stock to James J. Kim. James J. Kim and the reporting person are the co-trustees of the trust. James J. Kim and the reporting person are father and daughter. |
3. On October 1, 2021, the Qualified Annuity Trust under the James J. Kim 2018-1 Qualified Annuity Trust Agreement dtd 8/30/18 distributed 328,350 shares of the Issuer's Common Stock to James J. Kim. James J. Kim and the reporting person are the co-trustees of the trust. |
4. 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. |
5. 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 the reporting person. |
6. On December 15, 2021, James J. Kim transferred 1,756,427 shares of the Issuer's Common Stock to the James J. Kim 2021 Qualified Annuity Trust U/A Dated 12/15/2021. James J. Kim and the reporting person are the co-trustees of the trust. |
7. On December 15, 2021, the Qualified Annuity Trust under the James J. Kim 2019-1 Qualified Annuity Trust Agreement dtd September 10, 2019 distributed 596,920 shares of the Issuer's Common Stock to James J. Kim. James J. Kim and Susan Y. Kim are the co-trustees of the trust. |
8. On December 15, 2021, James J. Kim transferred 596,920 shares of the Issuer's Common Stock to the James J. Kim 2021 Qualified Annuity Trust U/A Dated 12/15/2021. |
9. On December 27, 2021, the reporting person 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"). Its managers are John T. Kim and Liam E. Blaney. |
10. The reporting person is (i) a trustee of family trusts for the benefit of her immediate family members which own shares of the Issuer's Common Stock, (ii) a trustee of grantor retained annuity trusts of which she was the settlor and is the sole annuitant which own shares of the Issuer's Common stock and (iii) a manager of manager-managed limited liability companies whose members are her immediate family members which own shares of the Issuer's Common Stock. |
11. Pursuant to the Form 4 instructions, the reporting person is being treated as having a pecuniary interest in all of these shares. 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. |
12. On September 20, 2021, the Susan Y. Kim Irrevocable Trust Dated 4/16/98 fbo Alexandra Kim Panichello transferred 2,733,333 shares of the Issuer's Common Stock to Alexandra Investments, LLC a limited liability company 100% of whose membership interests were owned by such trust. Such limited liability company is being treated as a corporation for purposes of Section 16. Susan Y. Kim and John T. Kim are the co-trustees of the trust. Susan Y. Kim and Liam E. Blaney are the co-managers of the limited liability company. The beneficiary of the trust is the daughter of Susan Y. Kim. Pursuant to the Form 4 instructions, in her capacity as a co-trustee of the trust and a co-manager of the limited liability company, Susan Y. Kim is being treated as having a pecuniary interest in all of the shares of the Issuer's Common Stock held by both the trust and the limited liability company. Accordingly, the transfer from the trust to the limited liability company is not being reported on this Form 4. |
13. On September 20, 2021, the Susan Y. Kim Irrevocable Trust Dated 4/16/98 fbo Jacqueline Mary Panichello transferred 2,733,333 shares of the Issuer's Common Stock to Jacqueline Investments, LLC a limited liability company 100% of whose membership interests were owned by such trust. Such limited liability company is being treated as a corporation for purposes of Section 16. Susan Y. Kim and John T. Kim are the co-trustees of the trust. Susan Y. Kim and Liam E. Blaney are the co-managers of the limited liability company. The beneficiary of the trust is the daughter of Susan Y. Kim. Pursuant to the Form 4 instructions, in her capacity as a co-trustee of the trust and a co-manager of the limited liability company, Susan Y. Kim is being treated as having a pecuniary interest in all of the shares of the Issuer's Common Stock held by both the trust and the limited liability company. Accordingly, the transfer from the trust to the limited liability company is not being reported on this Form 4. |
14. On September 20, 2021, the Susan Y. Kim Irrevocable Trust Dated 4/16/98 fbo Dylan James Panichello transferred 2,733,334 shares of the Issuer's Common Stock to Dylan Investments, LLC a limited liability company 100% of whose membership interests were owned by such trust. Such limited liability company is being treated as a corporation for purposes of Section 16. Susan Y. Kim and John T. Kim are the co-trustees of the trust. Susan Y. Kim and Liam E. Blaney are the co-managers of the limited liability company. The beneficiary of the trust is the son of Susan Y. Kim. Pursuant to the Form 4 instructions, in her capacity as a co-trustee of the trust and a co-manager of the limited liability company, Susan Y. Kim is being treated as having a pecuniary interest in all of the shares of the Issuer's Common Stock held by both the trust and the limited liability company. Accordingly, the transfer from the trust to the limited liability company is not being reported on this Form 4. |
Remarks: |
15. 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. |
/s/ Richard D. Rosen, Attorney-in-Fact | 01/20/2022 | |
** 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 Number. |