Member of 10% owner group (7) Kim Susan Y exercised 25,000 shares at a strike of $7.23, increasing direct ownership by 1% to 2,441,475 units (SEC Form 4)
$AMKR
Semiconductors
Technology
| 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). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
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) 11/21/2024 | ||||||||||||||||||||||||||
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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 | 11/21/2024 | M | 5,000 | A | $8.92 | 2,421,475 | D | |||
| Common Stock | 11/21/2024 | M | 20,000 | A | $6.81 | 2,441,475 | D | |||
| Common Stock | 2,200,000(1)(2)(3) | I | By James J. Kim 2024 GRAT dtd. 8/5/24 | |||||||
| Common Stock | 1,600,000(1)(2)(3) | I | By Agnes C. Kim 2024 GRAT dtd. 8/5/24 | |||||||
| Common Stock | 3,587,004(1)(2)(3) | I | By James J. Kim 2023 GRAT dtd. 4/26/23 | |||||||
| Common Stock | 2,298,001(1)(2)(3) | I | By Agnes C. Kim 2023 GRAT dtd. 4/26/23 | |||||||
| Common Stock | 1,338,097(1)(2)(3) | I | By James J. Kim 2021 GRAT dtd 12/15/21 | |||||||
| Common Stock | 4,500,000(1)(2)(3) | I | By own GRATs | |||||||
| Common Stock | 4,418,610(1)(2)(3) | I | By trusts (excl. GRATs) | |||||||
| Common Stock | 2,478,325(1)(2)(3)(4) | I | By Sujoda Investments, LP | |||||||
| Common Stock | 19,484,809(1)(2)(3) | I | By Sujochil, LP | |||||||
| Common Stock | 16,710,668(1)(2)(3) | I | By Kim Capital Partners - KPC, LLC | |||||||
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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 | ||||||||
| Director stock option (right to buy) | $8.92 | 11/21/2024 | M | 5,000 | 03/05/2015(5) | 02/12/2025 | Common Stock | 5,000 | $0 | 0 | D | ||||
| Director stock option (right to buy) | $6.81 | 11/21/2024 | M | 20,000 | 05/04/2016(6) | 05/05/2025 | Common Stock | 20,000 | $0 | 0 | D | ||||
| Explanation of Responses: |
| 1. The Reporting Person is (i) a trustee of trusts for the benefit of her immediate family members (other than grantor retained annuity trusts ("GRATs")) which own 4,418,610 shares of the Common Stock of Amkor Technology, Inc. (the "Issuer"); (ii) a trustee of GRATs for the benefit of members of her immediate family which own 11,023,102 shares of the Issuer's Common Stock; (iii) a trustee of GRATs of which the Reporting Person was the settlor and is the sole annuitant which own 4,500,000 shares of the Issuer's Common Stock; (iv) a general partner of a limited partnership (Sujochil, LP) which owns 19,484,809 shares of the Issuer's Common Stock; |
| 2. (Continued from Footnote 1) (v) a manager of a limited liability company being treated as a corporation for purposes of Section 16 which owns 16,710,668 shares of the Issuer's Common Stock and (vi) as referenced in Footnote 4, a member of Sujoda Management, LLC, which indirectly owns 2,478,325 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. |
| 3. 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. |
| 4. The sole general partner of Sujoda Investments, LP is Sujoda Management, LLC. The Reporting Person is one of three members of Sujoda Management, LLC. Sujoda Management, LLC is being treated as a limited partnership for purposes of Section 16, and, pursuant to the Form 4 instructions, the Reporting Person has elected to treat all of the shares of the Issuer's Common Stock owned by Sujoda Investments, LP as beneficially owned by the Reporting Person. |
| 5. This stock option to acquire 5,000 shares of the Issuer's Common Stock was granted on February 12, 2015 and vested in full on March 5, 2015. |
| 6. This stock option to acquire 20,000 shares of the Issuer's Common Stock was granted on May 5, 2015 and vested in full on May 4, 2016. |
| Remarks: |
| (7) 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. |
| Mark N. Rogers, Attorney-in-Fact for Susan Y. Kim | 11/22/2024 | |
| ** 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. | ||