Annual Statement of Changes in Beneficial Ownership (5)
February 14 2020 - 12:02PM
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 SUSAN Y | 2. Issuer Name and Ticker or Trading SymbolAMKOR 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) Exhibit 99.1 |
(Last)
(First)
(Middle)
2045 EAST INNOVATION CIRCLE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2019 |
(Street)
TEMPE, AZ 85284
(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 | 1/30/2019 | | J (1) | 95000 | D | $7.88 | 36720025 (7) | I | By self as trustee |
Common Stock | 4/29/2019 | | J (2) | 308000 | D | $9.15 | 36720025 (7) | I | By self as trustee |
Common Stock | 7/12/2019 | | J (3) | 800000 | D | $7.48 | 36720025 (7) | I | By self as trustee |
Common Stock | 7/12/2019 | | J (3) | 800000 | A | $7.48 | 32562517 (7) | D | |
Common Stock | 10/9/2019 | | J (4) | 215700 | D | $9.65 | 36720025 (7) | I | By self as trustee |
Common Stock | 10/9/2019 | | J (4) | 215700 | A | $9.65 | 32562517 (7) | D | |
Common Stock | 10/17/2019 | | J (5) | 4000000 | A | $9.88 | 36720025 (7) | I | By self as trustee |
Common Stock | 12/16/2019 | | J (6) | 443100 | D | $12.92 | 36720025 (7) | I | By self as trustee |
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 January 30, 2019, the James J. Kim 2014 Qualified Annuity Trust U/A dated 10/13/14 distributed 95,000 shares of the Issuer's Common Stock to James J. Kim. James J. Kim and Susan Y. Kim are co-trustees of the trust. |
(2) | On April 29, 2019, the Qualified Annuity Trust under the John T. Kim 2018 Irrevocable Trust Agreement Dated 2/6/18 distributed 308,000 shares of the Issuer's Common Stock to John T. Kim. Susan Y. Kim and John T. Kim are co-trustees of the trust. |
(3) | On July 12, 2019, the Susan Y. Kim 2015 Irrevocable Trust U/A Dated March 16, 2015 distributed 800,000 shares of the Issuer's Common Stock to Susan Y. Kim. Susan Y. Kim and John T. Kim are co-trustees of the trust. |
(4) | On October 9, 2019, the Qualified Annuity Trust under the Susan Y. Kim 2018-1 Irrevocable Trust Agreement dtd August 29, 2018 distributed 215,700 shares of the Issuer's Common Stock to Susan Y. Kim. Susan Y. Kim and James J. Kim are co-trustees of the trust. |
(5) | On October 17, 2019, James J. Kim transferred 4,000,000 shares of the Issuer's Common Stock to the James J. Kim 2019-1 Qualified Annuity Trust U/A Dated 9/10/19. James J. Kim and Susan Y. Kim are co-trustees of the trust. |
(6) | On December 16, 2019, the James J. Kim 2018-1 Qualified Annuity Trust U/A dtd 8/30/18 transferred 443,100 shares of the Issuer's Common Stock to James J. Kim. James J. Kim and Susan Y. Kim are co-trustees of the trust. |
(7) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KIM SUSAN Y 2045 EAST INNOVATION CIRCLE TEMPE, AZ 85284 | X | X |
| Exhibit 99.1 |
Signatures
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Mark N. Rogers, as Attorney in Fact | | 2/14/2020 |
**Signature of Reporting Person | Date |
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