SEC FORM 4
SEC Form 4
FORM 4 |
美国证券交易委员会 Washington, D.C. 20549
有益所有权的变化陈述
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 或1940年投资公司法案第30(h)条 |
OMB批准 |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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如果不再遵守第16条,请选中此框。表格4或表格5义务可能会继续。SeeInstruction 1(b). |
1. Name and Address of Reporting Person*
2045 EAST INNOVATION CIRCLE |
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(街)
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2. Issuer Name和Ticker or Trading Symbol AMKOR TECHNOLOGY, INC.[AMKR] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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Director |
X |
10% Owner |
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官(给下面的标题) |
X |
Other (specify below) |
见展览99.1. |
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3. Date of Earliest Transaction (Month/Day/Year) 08/18/2020 |
4.如果修订,原始提交日期(月/日/年)
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6.个人或联合/小组备案(检查适用的线)
X |
一份报告人提交的表格 |
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Form filed by More than One Reporting Person |
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表I - 获得,处置,或有利地拥有的非衍生证券 |
1. Title of Security (Instr. 3) |
2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any (Month/Day/Year) |
3.交易代码(instr。8) |
4.获得的证券(a)或已处理(d)(instr。3,4和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.间接有益所有权的性质(instr。4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
08/18/2020 |
|
M |
|
131,250 |
A |
$13.67 |
1,901,536 |
D |
|
Common Stock |
08/18/2020 |
|
M |
|
54,687 |
A |
$13.67 |
1,956,223 |
D |
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Common Stock |
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|
|
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47,206,673 |
I |
Held By Self as Trustee |
Common Stock |
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|
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|
|
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25,674,640 |
I |
由自我Through Partnership |
表II - 获得,处置或有益拥有的衍生证券 (e.g., puts, calls, warrants, options, convertible securities) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3.交易日期(月/日/年) |
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.衍生安全潜在证券的标题和金额(instr。3和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) |
日期Exercisable |
Expiration Date |
标题 |
Amount or Number of Shares |
员工股票期权 |
$9.86 |
08/18/2020 |
|
M |
|
|
131,250 |
08/18/2020 |
08/19/2020 |
Common Stock |
131,250 |
$0.00 |
0 |
D |
|
员工股票期权 |
$9.48 |
08/18/2020 |
|
M |
|
|
54,687 |
08/18/2020 |
08/19/2020 |
Common Stock |
54,687 |
$0.00 |
0 |
D |
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Explanation of Responses: |
Remarks: |
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Mark N. Rogers, Attorney-in-Fact for John T. Kim |
08/20/2020 |
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**报告人的签名 |
日期 |
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,seeInstruction 4 (b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal ViolationsSee18 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用于程序的指令6。 |
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. |
Exhibit 99.1 A Schedule 13D was filed by James J. Kim and those members of the reporting group who then constituted the group on November 28, 2005, as amended by Amendment No. 1 filed with the Securities and Exchange Commission (the "Commission") on April 4, 2008, Amendment No. 2 filed with the Commission on March 19, 2009, Amendment No. 3 filed with the Commission on April 16, 2009, Amendment No. 4 filed with the Commission on February 5, 2010, Amendment No. 5 filed with the Commission on March 28, 2011, Amendment No. 6 filed with the Commission on November 17, 2011, Amendment No. 7 filed with the Commission on March 29, 2013, Amendment No. 8 filed with the Commission on March 28, 2014, Amendment No. 9 filed with the Commission on March 30, 2015, Amendment No. 10 filed with the Commission on March 30, 2016, Amendment No. 11 filed with the Commission on January 20, 2017, Amendment No. 12 filed with the Commission on March 21, 2018, Amendment No. 13 filed with the Commission on November 9, 2018 and Amendment No. 14 filed with the Commission on March 20, 2020 (as further amended from time to time, the "Schedule 13D"). Those individuals and entities listed in the Schedule 13D, including the filer of this Form 4, may be deemed to be members of a group (the "Group") who each exercise voting or investment power with respect to shares of Amkor Technology, Inc.'s (the "Issuer") Common Stock in concert with other members of the Group. The Group may be deemed to beneficially own more than 10% of the outstanding voting securities of the Issuer. The reporting person states that the filing of this Form 4 Report 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 of the Securities Exchange Act of 1934, as amended, or for any other purpose.