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 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
AMKOR TECHNOLOGY INC [ AMKR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 | |||||||||||||
Amkor Technology, Inc. Common Stock | 03/31/2011 | G(1) | 5,000,000 | D | $6.73 | 0(2) | D | ||||||||
Amkor Technology, Inc. Common Stock | 03/31/2011 | G(3) | 5,000,000 | A | $6.73 | 5,863,898(4) | I | By self as trustee | |||||||
Amkor Technology, Inc. Common Stock | 04/07/2011 | J(5) | 1,066,657 | A | $6.82 | 0(2) | D | ||||||||
Amkor Technology, Inc. Common Stock | 04/07/2011 | J(5) | 1,066,657 | D | $6.82 | 5,863,898(4) | I | By self as trustee | |||||||
Amkor Technology, Inc. Common Stock | 08/12/2011 | G(6) | 5,027,464 | D | $4.29 | 0(2) | D | ||||||||
Amkor Technology, Inc. Common Stock | 08/12/2011 | G(7) | 5,027,465 | D | $4.29 | 0(2) | D | ||||||||
Amkor Technology, Inc. Common Stock | 08/12/2011 | G(8) | 5,027,465 | D | $4.29 | 0(2) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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. The James J. Kim 2011 Qualified Annuity Trust (the "2011 GRAT") was formed on March 24, 2011 and received 5,000,000 shares on March 31, 2011 as a gift from the Reporting Person. The Reporting Person and Susan Y. Kim are co-trustees of the 2011 GRAT. |
2. The Reporting Person does not directly own any shares after completion of the transactions reported herein; however, the Reporting Person has 905,000 options exercisable within 60 days of December 31, 2011 and the Reporting Person, as the general partner of 915 Investments, L.P., indirectly has a right to acquire 49,594,980 shares exercisable upon conversion of 6.0% convertible notes due 2014. The Reporting Person disclaims beneficial ownership of the securities listed herein except to the extent of his 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 his pecuniary interest therein, for purposes of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
3. 2011 GRAT was formed on March 24, 2011 and received 5,000,000 shares on March 31, 2011 as a gift from the Reporting Person. The Reporting Person and Susan Y. Kim are co-trustees of the 2011 GRAT. |
4. The Reporting Person disclaims beneficial ownership of the securities listed herein except to the extent of his 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 his pecuniary interest therein, for purposes of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
5. On April 7, 2011, the Reporting Person was distributed 1,066,657 shares from the James J. Kim 2009 Qualified Annuity Trust dated 12/29/09 ("2009 GRAT"). Susan Y. Kim and James J. Kim are co-trustees of this trust. On August 12, 2011, these shares were gifted as part of the transactions reported below. |
6. On August 12, 2011, the Reporting Person gifted 5,027,465 shares to the Susan Y. Kim Trust dated December 31, 1987. Susan Y. Kim is the sole trustee of this trust. |
7. On August 12, 2011, the Reporting Person gifted 5,027,464 shares to the John T. Kim Trust of December 31, 1987. John T. Kim is the sole trustee of this trust. |
8. On August 12, 2011, the Reporting Person gifted 5,027,465 shares to the David D. Kim Trust dated December 31, 1987. David D. Kim is the sole trustee of this trust. |
/s/ Jerry Allison, as attorney-in-fact | 02/13/2012 | |
** 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. |