Annual Statement of Changes in Beneficial Ownership (5)
February 16 2021 - 08:49AM
Edgar (US Regulatory)
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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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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
KIM JOHN T | 2. Issuer Name and Ticker or Trading SymbolAMKOR TECHNOLOGY, INC. [AMKR] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Exhibit 99.1 |
(Last)
(First)
(Middle)
C/O SIANA CARR O'CONNOR & LYNAM,, 1500 EAST LANCASTER AVENUE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(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
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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. 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) |
Amount | (A) or (D) | Price |
Common Stock | 3/16/2020 | | G (1) | 15641 | A | $7.47 | 2056223 (2)(3)(4) | D | |
Common Stock | | | | | | | 22681775 (2)(3)(5) | I | By self as trustee |
Common Stock | | | | | | | 25674640 (5)(6) | I | By self as GP |
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 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On March 16, 2020, the James J. Kim Qualified Annuity Trust U/A Dated 10/13/14 distributed 15,641 shares of the Issuer's Common Stock to each of Susan Y. Kim, John T. Kim and David D. Kim. James J. Kim and Susan Y. Kim are co-trustees. |
(2) | On July 1, 2020, 278,833 shares of the Issuer's Common Stock were distributed by the Qualified Annuity Trust under the John T. Kim 2018 Irrevocable Trust Agreement Dated February 6, 2018 to the reporting person. Susan Y. Kim and John T. Kim are co-trustees of the trust. The aforementioned trust from which the reporting person received such shares is a grantor retained annuity trust of which the reporting person is the settlor, the sole current beneficiary and a co-trustee. Pursuant to the Form 5 instructions, in his capacity as a co-trustee of the trust, the reporting person is being treated as having a pecuniary interest in all of the shares held by such trust. |
(3) | (Continued From Footnote 2) Accordingly, the transfer between the reporting person and such trust results in a mere change from indirect ownership to direct ownership. Such transfer is therefore not reported on this Form 5. On December 31, 2020, such grantor retained annuity trusts created by the reporting person held 1,202,942 shares of the Issuer's Common Stock. |
(4) | Includes options to acquire 100,000 shares of the Issuer's Common Stock. |
(5) | 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 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(6) | The reporting person may be deemed to indirectly own 25,674,640 shares of the Issuer's Common Stock held by limited partnerships established for the benefit of members of the James J. Kim family of which the reporting person is a general partner. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KIM JOHN T C/O SIANA CARR O'CONNOR & LYNAM, 1500 EAST LANCASTER AVENUE PAOLI, PA 19301-9713 |
| X |
| Exhibit 99.1 |
Signatures
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/s/ Mark N. Rogers, as Attorney in Fact | | 2/12/2021 |
**Signature of Reporting Person | Date |
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