Statement of Changes in Beneficial Ownership (4)
February 18 2021 - 6:11PM
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
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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
*
Rutten Guillaume Marie Jean |
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)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
2045 EAST INNOVATION CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/11/2021 |
(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 | 2/11/2021 | | A | | 50000 (1) | A | $0.00 | 425000 | D | |
Common Stock | 2/16/2021 | | M | | 14037 | A | $9.86 | 439037 | D | |
Common Stock | 2/16/2021 | | S(2) | | 14037 | D | $24.42 (3) | 425000 | D | |
Common Stock | 2/16/2021 | | M | | 963 | A | $9.48 | 425963 | D | |
Common Stock | 2/16/2021 | | S(2) | | 963 | D | $24.42 (3) | 425000 | D | |
Common Stock | 2/16/2021 | | M | | 62500 | A | $14.17 | 487500 | D | |
Common Stock | 2/16/2021 | | S | | 62500 | D | $24.45 (4) | 425000 | 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) | $9.86 | 2/16/2021 | | M | | | 14037 | 2/27/2018 (5) | 2/27/2027 | Common Stock | 14037 | $0.00 | 9375 | D | |
Employee Stock Option (Right-to-Buy) | $9.48 | 2/16/2021 | | M | | | 963 | 2/15/2020 (6) | 2/15/2029 | Common Stock | 963 | $0.00 | 102162 | D | |
Employee Stock Option (Right-to-Buy) | $14.17 | 2/16/2021 | | M | | | 62500 | 7/30/2021 (7) | 7/30/2030 | Common Stock | 62500 | $0.00 | 312500 | D | |
Explanation of Responses: |
(1) | These are restricted shares of common stock; they vest in ten equal installments at the rate of 5,000 shares per quarter, beginning with the initial vesting on April 30, 2021, and ending with the final vesting on July 30, 2023, so that 100% of the award will be vested on July 30, 2023. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2020. |
(3) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $24.03 to $25.06. |
(4) | The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $24.37 to $25.06. |
(5) | This stock option was granted on February 27, 2017 and will vest over four years as follows: 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested. |
(6) | This stock option was granted on February 15, 2019 and vests as follows: 25% of the shares vest on the first anniversary of the grant date and 1/16 of the option vests each quarter thereafter, such that 100% of the option will vest on the fourth anniversary of the grant date. |
(7) | This stock option was granted on July 30, 2020 and vests as follows: the option will vest quarterly over three years at the rate of 31,250 per quarter, such that 100% will be vested on the third anniversary of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rutten Guillaume Marie Jean 2045 EAST INNOVATION CIRCLE TEMPE, AZ 85284 | X |
| President and CEO |
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Signatures
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Mark N. Rogers, Attorney-in-Fact for Guillaume Marie Jean Rutten | | 2/17/2021 |
**Signature of Reporting Person | Date |
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