SEC Form 4 · accession 0001209191-16-148929
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
Nov 8, 2016
Accepted (ET)
Nov 8, 2016 · 6:14 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 4, 2016 | M | 100,000 | $4.50 | A | 448,843 | D | |
| Common StockF2 | Nov 4, 2016 | S | 100,000 | $10.45 | D | 348,843 | D | |
| Common Stock | Nov 7, 2016 | M | 100,000 | $4.50 | A | 448,843 | D | |
| Common StockF3 | Nov 7, 2016 | S | 100,000 | $10.89 | D | 348,843 | D | |
| Common Stock | Nov 8, 2016 | F | 21,563 | $11.24 | D | 327,280 | 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)F4 | $4.50 | Sep 14, 2016 | M | 42,579 | D | May 8, 2014 | May 8, 2023 | Amkor Technology, Inc., Common Stock | 42,579 | 507,421 | D |
| Employee Stock Option (Right to Buy)F4 | $4.50 | Nov 4, 2016 | M | 100,000 | D | May 8, 2014 | May 8, 2023 | Amkor Technology, Inc., Common Stock | 100,000 | 407,421 | D |
| Employee Stock Option (Right to Buy)F4 | $4.50 | Nov 7, 2016 | M | 100,000 | D | May 8, 2014 | May 8, 2023 | Amkor Technology, Inc.,Common Stock | 100,000 | 307,421 | D |
Explanation of responses
- F1Also reflects the August 22, 2016 transfer of 5,822 shares to Mr. Kelley's ex-spouse pursuant to the terms of a qualified domestic relations order.
- F2The price reported in Column 4 is a weighted average. Shares sold in multiple transactions at prices from 10.42 to 10.50.
- F3The price reported in Column 4 is a weighted average. Shares sold in multiple transactions at prices from 10.86 to 10.94.
- F4The 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.