SEC Form 4 · accession 0001209191-16-136221
AMKOR TECHNOLOGY, INC. · AMKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Douglas Kelley
Officer — President and CEO · Director
Period of report
Aug 8, 2016
Accepted (ET)
Aug 9, 2016 · 8:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001047127
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Amkor Technology, Inc., Common StockF1 | Aug 8, 2016 | F | 21,563 | $8.24 | D | 354,665 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2,F3 | $4.50 | Aug 4, 2016 | M | 100,000 | D | May 8, 2014 | May 8, 2023 | Amkor Technology, Inc., Common Stock | 100,000 | 650,000 | D |
| Employee Stock Option (Right to Buy)F4,F3 | $4.50 | Aug 8, 2016 | M | 31,539 | D | May 8, 2014 | May 8, 2023 | Amkor Technology, Inc., Common Stock | 31,539 | 618,461 | D |
| Employee Stock Option (Right to Buy)F5,F3 | $4.50 | Aug 9, 2016 | M | 68,461 | D | May 8, 2014 | May 8, 2023 | Amkor Technology, Inc.,Common Stock | 68,461 | 550,000 | D |
Explanation of responses
- F1Also reflects the June 2, 2016 transfer of 129,792 shares to Mr. Kelley's ex-spouse pursuant to the terms of a qualified domestic relations order.
- F2Reflects the August 4, 2016 exercise of 100,000 employee stock options at the direction of Mr. Kelley's ex-spouse pursuant to the terms of a qualified domestic relations order. Mr. Kelley's ex-spouse will retain all proceeds from the sales.
- F3The option grant vests as follows: 25% of the shares vest on the first anniversary of the grant date and 1/16 of the option vests each quarter thereafter, such that 100% of the option will vest on the fourth anniversary of the grant date.
- F4Reflects the August 8, 2016 exercise of 31,539 employee stock options at the direction of Mr. Kelley's ex-spouse pursuant to the terms of a qualified domestic relations order. Mr. Kelley's ex-spouse will retain all proceeds from the sales.
- F5Reflects the August 9, 2016 exercise of 68,461 employee stock options at the direction of Mr. Kelley's ex-spouse pursuant to the terms of a qualified domestic relations order. Mr. Kelley's ex-spouse will retain all proceeds from the sales.