SEC Form 4
| 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)
| 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) 12/30/2021 | ||||||||||||||||||||||||||
| 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 | 12/30/2021 | P(1) | 1,187,087 | A | $24.68 | 1,197,886 | D | |||
| Common Stock | 12/30/2021 | P(2) | 1,187,087 | A | $24.68 | 1,187,110 | I(5) | By spouse | ||
| Common Stock | 12/30/2021 | P(3) | 668,666 | A | $24.68 | 1,855,776 | I(5) | By spouse | ||
| Common Stock | 12/30/2021 | P(3) | 668,666 | A | $24.68 | 1,866,552 | D | |||
| Common Stock | 49,594,980 | I(4)(5) | By 915 Investments, LP | |||||||
| Common Stock | 14,136,180 | I(4)(5) | By trusts (other than GRATs) | |||||||
| Common Stock | 6,430,381 | I(4)(5) | By GRATs | |||||||
| 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 December 30, 2021, Sujoda Investments, LP transferred 1,187,087 shares of the Issuer's Common Stock to James J. Kim in payment of the principal of a Note. |
| 2. On December 30, 2021, Sujoda Investments, LP transferred 1,187,087 shares of the Issuer's Common Stock to Agnes C. Kim, the wife of James J. Kim, in payment of the principal of a Note. |
| 3. On December 30, 2021, Sujoda Investments, LP transferred 668,666 shares of the Issuer's Common Stock to James J. Kim and 668,666 shares of the Issuer's Common Stock to Agnes C. Kim in partial payment of the principal of a joint Note. |
| 4. The reporting person is (i) a trustee of family trusts for the benefit of his immediate family members which own 14,136,180 shares of the Issuer's Common Stock, (ii) a trustee of grantor retained annuity trusts of which he was the settlor and is the sole annuitant which own 6,430,381 shares of the Issuer's Common Stock, and (iii) a general partner of a limited partnership which owns 49,594,980 shares of the Issuer's Common Stock. Pursuant to the Form 4 instructions, the reporting person is being treated as having a pecuniary interest in all of such shares. |
| 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 ("Section 16"), or for any other purpose. |
| Remarks: |
| 6. 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 | 12/31/2021 | |
| ** 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. | ||