FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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). | ||||||||||||||||
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Form 3 Holdings Reported. | ||||||||||||||||
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Form 4 Transactions Reported. |
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. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2020 | ||||||||||||||||||||||||||
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 at end of Issuer's Fiscal Year (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 | 03/16/2020 | G | 46,923 | D | $7.47 | 6,417,888(1)(9)(10)(11) | I | By self as trustee | |||||||
Common Stock | 12/17/2020 | S4 | 816,613 | A | $15.41 | 23(2)(3) | I | By spouse | |||||||
Common Stock | 12/17/2020 | S4 | 816,613 | A | $15.41 | 23(3)(4) | I | By spouse | |||||||
Common Stock | 12/17/2020 | S4 | 816,613 | A | $15.41 | 23(3)(5) | I | By spouse | |||||||
Common Stock | 12/17/2020 | S4 | 1,633,226 | A | $15.41 | 23(3)(6) | I | By spouse | |||||||
Common Stock | 12/21/2020 | G | 4,083,065 | D | $15.01 | 23(3)(7) | I | By spouse | |||||||
Common Stock | 1,714,877(8) | D | |||||||||||||
Common Stock | 49,594,980(11) | I | By self as GP |
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) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. On March 16, 2020, the James J. Kim Qualified Annuity Trust U/A Dated 10/13/14 distributed 15,641 shares of the Issuer's Common Stock to each of Susan Y. Kim, John T. Kim and David D. Kim. James J. Kim and Susan Y. Kim are co-trustees. |
2. On December 17, 2020, the James J. Kim 2008 Trust FBO Alexandra Kim Panichello & Descendants dated 2/5/08 transferred 816,613 shares of the Issuer's Common Stock to Agnes C. Kim in full payment of the principal and accrued interest of a note payable to her by such trust. John T. Kim and Susan Y. Kim are co-trustees of the trust. This transaction was reported on a Form 4 for the trust on December 20, 2020, but was not separately reported for the reporting person. |
3. Agnes C. Kim is the spouse of the reporting person. 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. |
4. On December 17, 2020, the James J. Kim 2008 Trust FBO Jacqueline Mary Panichello & Descendants dated 2/5/08 transferred 816,613 shares of the Issuer's Common Stock to Agnes C. Kim in full payment of the principal and accrued interest of a note payable to her by such trust. John T. Kim and Susan Y. Kim are co-trustees of the trust. This transaction was reported on a Form 4 for the trust on December 20, 2020, but was not separately reported for the reporting person. |
5. On December 17, 2020, the James J. Kim 2008 Trust FBO Dylan James Panichello & Descendants dated 2/5/08 transferred 816,613 shares of the Issuer's Common Stock to Agnes C. Kim in full payment of the principal and accrued interest of a note payable to her by such trust. John T. Kim and Susan Y. Kim are co-trustees of the trust. This transaction was reported on a Form 4 for the trust on December 20, 2020, but was not separately reported for the reporting person. |
6. On December 17, 2020, the James J. Kim 2008 Trust FBO Descendants of John T. Kim dated 2/5/08 transferred 1,633,226 shares of the Issuer's Common Stock to Agnes C. Kim in full payment of the principal and accrued interest of a note payable to her by such trust. John T. Kim and Susan Y. Kim are co-trustees of the trust. This transaction was reported on a Form 4 for the trust on December 20, 2020, but was not separately reported for the reporting person. |
7. On December 21, 2020, Agnes C. Kim transferred 4,083,065 shares of the Issuer's Common Stock to the Agnes C. Kim 2020-1 Qualified Annuity Trust U/A Dated 12/16/20 as a gift. Susan Y. Kim is the sole trustee of the trust. This transaction was previously reported on Form 3 for the trust and Form 4 for Susan Y. Kim. |
8. Includes options to acquire 450,000 shares of the Issuer's Common Stock. |
9. On March 2, 2020, the James J. Kim Qualified Annuity Trust U/A Dated 10/13/14 distributed 91,392 shares of the Issuer's Common Stock to the reporting person. James J. Kim and Susan Y. Kim are co-trustees of the trust. On May 26, 2020, the reporting person transferred 1,564,323 shares of the Issuer's Common Stock to the James J. Kim 2020-1 Qualified Annuity Trust under the James J. Kim 2020-1 Qualified Annuity Trust Agreement dated 4/1/20. Susan Y. Kim and James J. Kim are co-trustees of the trust. On December 15, 2020, the James J. Kim 2019-1 Qualified Annuity Trust U/A Dated 9/10/19 distributed 727,169 shares of the Issuer's Common Stock to the reporting person |
10. (Continued From Footnote 9) James J. Kim and Susan Y. Kim are co-trustees of the trust. On December 15, 2020, the James J. Kim 2018-1 Qualified Annuity Trust U/A Dated 8/30/18 distributed 446,316 shares of the Issuer's Common Stock to the reporting person. James J. Kim and Susan Y. Kim are co-trustees of the trust. Pursuant to the Form 5 instructions, in his capacity as a co-trustee of the trusts, the reporting person is being treated as having a pecuniary interest in all of the shares held by such trusts. Accordingly, transfers between the reporting person and such trusts result in mere changes from direct to indirect ownership or vice versa. Such transfers are therefore not reported on this Form 5. On December 31, 2020, such grantor retained annuity trusts held 6,417,888 shares of the Issuer's Common Stock. |
11. The reporting person may be deemed to indirectly own 6,417,888 shares of the Issuer's Common Stock held by grantor retained annuity trusts (see footnote 8) and 49,594,980 shares of the Issuer's Common Stock held by a limited partnership established for the benefit of members of the James J. Kim family of which the reporting person is a general partner. 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. |
Remarks: |
/s/ Mark N. Rogers, as Attorney in Fact | 02/12/2021 | |
** 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. |