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)
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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) 02/09/2023 | ||||||||||||||||||||||||||
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 | 02/09/2023 | G | V | 485,600(1) | D | $0.00 | 1,867,747(2)(3)(4) | I | By James J. Kim 2021 GRAT dtd 12/15/21 | |
Common Stock | 02/09/2023 | G | V | 667,225(5) | D | $0.00 | 2,660,840(2)(3)(4) | I | By Agnes C. Kim 2020-1 GRAT dtd 12/16/20 | |
Common Stock | 6,973,614 | D | ||||||||
Common Stock | 753,232(2)(3)(4) | I | By John T. Kim 2018 GRAT dtd 2/6/18 | |||||||
Common Stock | 1,117,623(2)(3)(4) | I | By James J. Kim 2020-1 GRAT dtd 4/1/20 | |||||||
Common Stock | 3,678,298(2)(3)(4) | I | By own GRATs | |||||||
Common Stock | 9,181,498(2)(3)(4) | I | By trusts (excl. GRATs) | |||||||
Common Stock | 19,484,809(2)(3)(4) | I | By Sujochil, LP | |||||||
Common Stock | 2,478,325(2)(3)(4)(6) | I | By Sujoda Investments, LP | |||||||
Common Stock | 8,200,000(2)(3)(4) | I | By LLCs treated as corporations |
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 February 9, 2023, the James J. Kim 2021 Qualified Annuity Trust Dated 12/15/21 (the "JJK Trust") distributed 485,600 shares of the Common Stock of Amkor Technology, Inc. (the "Issuer") to James J. Kim. The Reporting Person is a trustee of the JJK Trust and the daughter of James J. Kim. |
2. 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 9,181,498 shares of the Issuer's Common Stock, (ii) a trustee of GRATs for the benefit of members of her immediate family which own 6,399,442 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 3,678,298 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, |
3. (Continued from Footnote 2) (v) a manager of limited liability companies being treated as corporations for purposes of Section 16, which own 8,200,000 shares of the Issuer's Common Stock and (vi) as referenced in footnote 6, a member of Sujoda Management, LLC, which indirectly owns 2,478,325 shares of the Issuer's Common Stock. Pursuant to Form 4 instructions, the Reporting Person is being treated as having a pecuniary interest in all of such shares. |
4. Pursuant to the Form 4 instructions, the Reporting Person is being treated as having a pecuniary interest in all of these shares. 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. |
5. On February 9, 2023, the Agnes C. Kim 2020-1 Qualified Annuity Trust U/A dated 12/16/20 (the "ACK Trust") distributed 667,225 shares of the Common Stock of the Issuer to Agnes C. Kim. The Reporting Person is the sole trustee of the ACK Trust and the daughter of Agnes C. Kim. |
6. 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. |
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 | 02/16/2023 | |
** 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. |