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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
6.0% Convertible Subordinated Notes Due 2014 | $ 3.02 | 06/18/2013 | J(1) | 150,000,000 | 04/01/2009 | 04/15/2014 | Amkor Technology, Inc. Common Stock | 49,594,980 | (1) | 0 | I | By self as GP | |||
6.0% Convertible Subordinated Notes Due 2014 | $ 3.02 | 06/18/2013 | J(1) | 150,000,000 | 04/01/2009 | 04/15/2014 | Amkor Technology, Inc. Common Stock | 49,594,980 | (1) | 0 | D (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KIM JAMES J |
X | X | See Exhibit 99.1 | |
915 Investments, LP 915 MT. PLEASANT RD BRYN MAWR, PA 19010 |
X | See Exhibit 99.1 |
/s/ Jerry Allison, as attorney in fact for James J. Kim *** | 06/18/2013 | |
**Signature of Reporting Person | Date | |
/s/ Christie B. Tillapaugh, as attorney in fact for 915 Investments, LP | 06/18/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This report is filed jointly by 915 Investments, LP (the "Partnership") and James J. Kim, its general partner. On June 18, 2013, the Partnership exchanged $150,000,000 aggregate principal amount of the notes for cash and shares of the Company's Common Stock at a rate of 330.6332 shares per $1,000 principal amount of notes, subject to certain adjustments, which represents a $3.02 price per share of Common Stock. |
(2) | James J. Kim may be deemed to beneficially own 85,913,495 shares of this class of securities. Of these shares, 49,594,980 are held indirectly by James J. Kim as the general partner of the Partnership and the remaining shares are indirectly held through various trusts in which the reporting person is a trustee. This amount excludes 655,000 options exercisable within 60 days of June 13, 2013. Other than the reporting person's direct holdings, the reporting person disclaims beneficial ownership of these securities 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) | Held indirectly by James J. Kim, the general partner of the Partnership. |
(4) | Held directly by the Partnership. |
Remarks: ***As attorney in fact for James J. Kim. See Exhibit 99.2 for signatures and other required information for other reporting persons. |