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AMKR

AMKOR TECHNOLOGY, INC.

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3481
SEC CIK
0001047127
Parsed reports
904

Last 12 months

Inside the activity.

0 purchase rows · 41 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202502
Dec 202506
Jan 202602
Feb 202608
Mar 202601
Apr 202601
May 202608
Jun 202603
Jul 202603
Aug 202605
Sep 202601
Oct 202601

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 03, 2020 Filed Dec 4, 2020 17:17 UTC
Stone John CharlesExecutive Vice President
Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 28,125 $0.00 Strike: $9.86 $0.00
Disclosure

SEC source: 0001209191-20-061755 · doc4.xml · derivative · entry 4

Stone John Charles · CIK 0001581432 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,125

Underlying: Common Stock · 28,125 shares

Expires 2027-02-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This stock option was granted on February 27, 2017 and vests over four years 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 be vested on the fourth anniversary of the grant date.

Read SEC document
December 03, 2020 Filed Dec 4, 2020 17:17 UTC
Stone John CharlesExecutive Vice President
SaleCommon Stock 28,125 $15.25 $428,906.25
Disclosure

SEC source: 0001209191-20-061755 · doc4.xml · nonDerivative · entry 2

Stone John Charles · CIK 0001581432 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,016

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 26, 2020

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 15.25 to 15.26.

Read SEC document
December 03, 2020 Filed Dec 4, 2020 17:17 UTC
Stone John CharlesExecutive Vice President
Exercise / conversionCommon Stock 28,125 $9.86 $277,312.50
Disclosure

SEC source: 0001209191-20-061755 · doc4.xml · nonDerivative · entry 1

Stone John Charles · CIK 0001581432 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,141

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 18:24 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 46,875 $0.00 Strike: $9.48 $0.00
Disclosure

SEC source: 0001209191-20-061053 · doc4.xml · derivative · entry 3

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,125

Underlying: Common Stock · 46,875 shares

Expires 2029-02-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This stock option was granted on February 15, 2019 and will vest over four years as follows: 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 18:24 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
SaleCommon Stock 46,875 $15.00 $703,125.00
Disclosure

SEC source: 0001209191-20-061053 · doc4.xml · nonDerivative · entry 2

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2020.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 18:24 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
Exercise / conversionCommon Stock 46,875 $9.48 $444,375.00
Disclosure

SEC source: 0001209191-20-061053 · doc4.xml · nonDerivative · entry 1

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,875

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 18:22 UTC Exercise / conversionDirector Stock Option (Right-to-Buy) · Derivative 20,000 $0.00 Strike: $4.58 $0.00
Disclosure

SEC source: 0001209191-20-061052 · doc4.xml · derivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2022-05-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: These options were granted May 8, 2012 and vest 100% on the earlier of the first anniversary of the grant date or the date of the first annual meeting of stockholders following the grant date.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 18:22 UTC Disposition to issuerCommon Stock 20,000 $15.16 $303,200.00
Disclosure

SEC source: 0001209191-20-061052 · doc4.xml · nonDerivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,489

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 15.11 to 15.22.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 18:22 UTC GrantCommon Stock 20,000 $4.58 $91,600.00
Disclosure

SEC source: 0001209191-20-061052 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,489

Read SEC document
November 19, 2020 Filed Nov 20, 2020 17:33 UTC Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 4,500 $0.00 Strike: $8.88 $0.00
Disclosure

SEC source: 0001209191-20-059609 · doc4.xml · derivative · entry 3

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,500

Underlying: Common Stock · 4,500 shares

Expires 2026-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This stock option was granted on September 12, 2016 and will vest over four years as follows: 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
November 19, 2020 Filed Nov 20, 2020 17:33 UTC SaleCommon Stock 4,500 $13.42 $60,390.00
Disclosure

SEC source: 0001209191-20-059609 · doc4.xml · nonDerivative · entry 2

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,219

F1 · kind: The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 30, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 13.34 to 13.52.

Read SEC document
November 19, 2020 Filed Nov 20, 2020 17:33 UTC Exercise / conversionCommon Stock 4,500 $8.88 $39,960.00
Disclosure

SEC source: 0001209191-20-059609 · doc4.xml · nonDerivative · entry 1

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 21:45 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 15,000 $0.00 Strike: $9.86 $0.00
Disclosure

SEC source: 0001209191-20-058739 · doc4.xml · derivative · entry 4

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,412

Underlying: Common Stock · 15,000 shares

Expires 2027-02-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This stock option was granted on February 27, 2017 and will vest over four years as follows: 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 21:45 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
SaleCommon Stock 12,213 $13.53 $165,241.89
Disclosure

SEC source: 0001209191-20-058739 · doc4.xml · nonDerivative · entry 3

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 13.485 to 13.55.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 21:45 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
SaleCommon Stock 2,787 $13.43 $37,429.41
Disclosure

SEC source: 0001209191-20-058739 · doc4.xml · nonDerivative · entry 2

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,213

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 13.33 to 13.52.

Read SEC document
November 16, 2020 Filed Nov 17, 2020 21:45 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
Exercise / conversionCommon Stock 15,000 $9.86 $147,900.00
Disclosure

SEC source: 0001209191-20-058739 · doc4.xml · nonDerivative · entry 1

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 20:53 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 15,000 $0.00 Strike: $9.86 $0.00
Disclosure

SEC source: 0001209191-20-055065 · doc4.xml · derivative · entry 3

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,412

Underlying: Common Stock · 15,000 shares

Expires 2027-02-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This stock option was granted on February 27, 2017 and will vest over four years as follows: 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 20:53 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
SaleCommon Stock 15,000 $12.58 $188,700.00
Disclosure

SEC source: 0001209191-20-055065 · doc4.xml · nonDerivative · entry 2

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.50 to 12.68.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 20:53 UTC
Rutten Guillaume Marie JeanDirector · President and CEO
Exercise / conversionCommon Stock 15,000 $9.86 $147,900.00
Disclosure

SEC source: 0001209191-20-055065 · doc4.xml · nonDerivative · entry 1

Rutten Guillaume Marie Jean · CIK 0001596796 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 20:51 UTC Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 4,500 $0.00 Strike: $8.88 $0.00
Disclosure

SEC source: 0001209191-20-055064 · doc4.xml · derivative · entry 3

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 4,500 shares

Expires 2026-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This stock option was granted on September 12, 2016 and will vest over four years as follows: 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 20:51 UTC SaleCommon Stock 4,500 $12.57 $56,565.00
Disclosure

SEC source: 0001209191-20-055064 · doc4.xml · nonDerivative · entry 2

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,219

F1 · kind: The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 30, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.44 to 12.66.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 20:51 UTC Exercise / conversionCommon Stock 4,500 $8.88 $39,960.00
Disclosure

SEC source: 0001209191-20-055064 · doc4.xml · nonDerivative · entry 1

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
October 09, 2020 Filed Oct 13, 2020 15:56 UTC
Rutten Guillaume Marie JeanPresident, CEO and Director
Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 15,000 $0.00 Strike: $9.86 $0.00
Disclosure

SEC source: 0001209191-20-054596 · doc4.xml · derivative · entry 3

Rutten Guillaume Marie Jean · CIK 0001596796 · President, CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,412

Underlying: Common Stock · 15,000 shares

Expires 2027-02-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The stock options will vest over four years; 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
October 09, 2020 Filed Oct 13, 2020 15:56 UTC
Rutten Guillaume Marie JeanPresident, CEO and Director
SaleCommon Stock 15,000 $12.50 $187,500.00
Disclosure

SEC source: 0001209191-20-054596 · doc4.xml · nonDerivative · entry 2

Rutten Guillaume Marie Jean · CIK 0001596796 · President, CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2020.

Read SEC document
October 09, 2020 Filed Oct 13, 2020 15:56 UTC
Rutten Guillaume Marie JeanPresident, CEO and Director
Exercise / conversionCommon Stock 15,000 $9.89 $148,350.00
Disclosure

SEC source: 0001209191-20-054596 · doc4.xml · nonDerivative · entry 1

Rutten Guillaume Marie Jean · CIK 0001596796 · President, CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
September 17, 2020 Filed Sep 17, 2020 20:52 UTC Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 4,500 $0.00 Strike: $8.88 $0.00
Disclosure

SEC source: 0001209191-20-050944 · doc4.xml · derivative · entry 3

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,500

Underlying: Common Stock · 4,500 shares

Expires 2026-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The stock options will vest over four years; 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
September 17, 2020 Filed Sep 17, 2020 20:52 UTC SaleCommon Stock 4,500 $11.15 $50,175.00
Disclosure

SEC source: 0001209191-20-050944 · doc4.xml · nonDerivative · entry 2

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,219

F1 · kind: The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 30, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 11.08 to 11.19.

Read SEC document
September 17, 2020 Filed Sep 17, 2020 20:52 UTC Exercise / conversionCommon Stock 4,500 $8.88 $39,960.00
Disclosure

SEC source: 0001209191-20-050944 · doc4.xml · nonDerivative · entry 1

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 21, 2020 Filed Feb 16, 2021 13:50 UTC
KIM SUSAN YDirector · 10% owner · See Exhibit 99.1
GiftCommon Stock 561,343 $12.71 $7,134,669.53
Disclosure

SEC source: 0000899243-21-006552 · doc5.xml · nonDerivative · entry 6

KIM SUSAN Y · CIK 0001158922 · Director · 10% owner · See Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Indirect · By self as trustee

Disclosed balance after: 32,339,816

F4 · kind: On August 21, 2020, the Susan Y. Kim 2015 Irrevocable Trust U/A Dated 3/16/15 distributed 561,343 shares of the Issuer's Common Stock to the Family Trust Under the Susan Y. Kim 2012 Irrevocable Trust Agreement Dated 7/26/12. Susan Y. Kim and John T. Kim are co-trustees of both of the trusts.

F7 · balance_after: The reporting person may be deemed to indirectly own 27,717,773 shares of the Issuer's Common Stock held by various family trusts of which the reporting person is a trustee, 4,622,043 shares of the Issuer's Common Stock held by grantor retained annuity trusts (see footnote 9), and 25,674,640 shares of the Issuer's Common Stock held by limited partnerships established for the benefit of members of the James J. Kim family of which the reporting person is a general partner. The reporting person disclaims beneficial ownership of these securities, except to the extent of the reporting person's 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 the reporting person's pecuniary interest therein, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 21, 2020 Filed Feb 16, 2021 13:50 UTC
KIM SUSAN YDirector · 10% owner · See Exhibit 99.1
GiftCommon Stock 561,343 $12.71 $7,134,669.53
Disclosure

SEC source: 0000899243-21-006552 · doc5.xml · nonDerivative · entry 5

KIM SUSAN Y · CIK 0001158922 · Director · 10% owner · See Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Indirect · By self as trustee

Disclosed balance after: 32,339,816

F4 · kind: On August 21, 2020, the Susan Y. Kim 2015 Irrevocable Trust U/A Dated 3/16/15 distributed 561,343 shares of the Issuer's Common Stock to the Family Trust Under the Susan Y. Kim 2012 Irrevocable Trust Agreement Dated 7/26/12. Susan Y. Kim and John T. Kim are co-trustees of both of the trusts.

F7 · balance_after: The reporting person may be deemed to indirectly own 27,717,773 shares of the Issuer's Common Stock held by various family trusts of which the reporting person is a trustee, 4,622,043 shares of the Issuer's Common Stock held by grantor retained annuity trusts (see footnote 9), and 25,674,640 shares of the Issuer's Common Stock held by limited partnerships established for the benefit of members of the James J. Kim family of which the reporting person is a general partner. The reporting person disclaims beneficial ownership of these securities, except to the extent of the reporting person's 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 the reporting person's pecuniary interest therein, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 21, 2020 Filed Feb 16, 2021 13:50 UTC GiftCommon Stock 561,343 $12.71 $7,134,669.53
Disclosure

SEC source: 0000899243-21-006551 · doc5.xml · nonDerivative · entry 1

Family Trust Under the Susan Y. Kim 2012 Irrevocable Trust Dated 7/26/12 · CIK 0001728273 · Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,341,120

F1 · kind: On August 21, 2020, the Susan Y. Kim 2015 Irrevocable Trust U/A Dated 3/16/15 distributed 561,343 shares of the Issuer's Common Stock to the Family Trust Under the Susan Y. Kim 2012 Irrevocable Trust Agreement Dated 7/26/12. Susan Y. Kim and John T. Kim are co-trustees of both of the trusts.

Read SEC document
August 21, 2020 Filed Feb 16, 2021 13:42 UTC GiftCommon Stock 561,343 $12.71 $7,134,669.53
Disclosure

SEC source: 0000899243-21-006538 · doc5.xml · nonDerivative · entry 2

Susan Y. Kim 2015 Irrevocable Trust U/A Dated March 16, 2015 · CIK 0001645038 · Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: On August 21, 2020, the Susan Y. Kim 2015 Irrevocable Trust U/A Dated 3/16/15 distributed 561,343 shares of the Issuer's Common Stock to the Family Trust Under the Susan Y. Kim 2012 Irrevocable Trust Agreement Dated 7/26/12. Susan Y. Kim and John T. Kim are co-trustees of both of the trusts.

Read SEC document
August 20, 2020 Filed Aug 20, 2020 21:04 UTC Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 4,500 $0.00 Strike: $8.88 $0.00
Disclosure

SEC source: 0001209191-20-047764 · doc4.xml · derivative · entry 3

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,000

Underlying: Common Stock · 4,500 shares

Expires 2026-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The stock options will vest over four years; 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

Read SEC document
August 20, 2020 Filed Aug 20, 2020 21:04 UTC SaleCommon Stock 4,500 $13.17 $59,265.00
Disclosure

SEC source: 0001209191-20-047764 · doc4.xml · nonDerivative · entry 2

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,219

F1 · kind: The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 30, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 13.11 to 13.34.

Read SEC document
August 20, 2020 Filed Aug 20, 2020 21:04 UTC Exercise / conversionCommon Stock 4,500 $8.88 $39,960.00
Disclosure

SEC source: 0001209191-20-047764 · doc4.xml · nonDerivative · entry 1

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 19, 2020 Filed Feb 16, 2021 13:42 UTC GiftCommon Stock 526,500 $13.64 $7,181,460.00
Disclosure

SEC source: 0000899243-21-006538 · doc5.xml · nonDerivative · entry 1

Susan Y. Kim 2015 Irrevocable Trust U/A Dated March 16, 2015 · CIK 0001645038 · Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On August 19, 2020, the Susan Y. Kim 2015 Irrevocable Trust U/A Dated 3/16/15 distributed 526,500 shares of the Issuer's Common Stock to Susan Y. Kim. Susan Y. Kim and John T. Kim are co-trustees of the trust.

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August 18, 2020 Filed Aug 20, 2020 20:31 UTC
KIM JOHN T10% owner · See Exhibit 99.1
Exercise / conversionEmployee Stock Option · Derivative 54,687 $0.00 Strike: $9.48 $0.00
Disclosure

SEC source: 0000899243-20-023035 · doc4.xml · derivative · entry 6

KIM JOHN T · CIK 0001158926 · 10% owner · See Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 54,687 shares

Expires 2020-08-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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August 18, 2020 Filed Aug 20, 2020 20:31 UTC
KIM JOHN T10% owner · See Exhibit 99.1
Exercise / conversionEmployee Stock Option · Derivative 131,250 $0.00 Strike: $9.86 $0.00
Disclosure

SEC source: 0000899243-20-023035 · doc4.xml · derivative · entry 5

KIM JOHN T · CIK 0001158926 · 10% owner · See Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 131,250 shares

Expires 2020-08-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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August 18, 2020 Filed Aug 20, 2020 20:31 UTC
KIM JOHN T10% owner · See Exhibit 99.1
Exercise / conversionCommon Stock 54,687 $13.67 $747,571.29
Disclosure

SEC source: 0000899243-20-023035 · doc4.xml · nonDerivative · entry 2

KIM JOHN T · CIK 0001158926 · 10% owner · See Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,956,223

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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August 18, 2020 Filed Aug 20, 2020 20:31 UTC
KIM JOHN T10% owner · See Exhibit 99.1
Exercise / conversionCommon Stock 131,250 $13.67 $1,794,187.50
Disclosure

SEC source: 0000899243-20-023035 · doc4.xml · nonDerivative · entry 1

KIM JOHN T · CIK 0001158926 · 10% owner · See Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,901,536

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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July 30, 2020 Filed Jul 31, 2020 00:09 UTC
Rutten Guillaume Marie JeanPresident, CEO and Director
GrantEmployee Stock Option (Right-to-Buy) · Derivative 375,000 $0.00 Strike: $14.17 $0.00
Disclosure

SEC source: 0001209191-20-044110 · doc4.xml · derivative · entry 2

Rutten Guillaume Marie Jean · CIK 0001596796 · President, CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Common Stock · 375,000 shares

Expires 2030-07-30

F2 · derivative.exercise_date: These options vest quarterly over three years at the rate of 31,250 per quarter, such that 100% will be vested on the third anniversary of the grant date.

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July 30, 2020 Filed Jul 31, 2020 00:09 UTC
Rutten Guillaume Marie JeanPresident, CEO and Director
GrantCommon Stock 375,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-044110 · doc4.xml · nonDerivative · entry 1

Rutten Guillaume Marie Jean · CIK 0001596796 · President, CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

F1 · shares: These are restricted shares of common stock; they vest quarterly over three years at the rate of 31,250 per quarter, such that 100% will be vested on the third anniversary of the grant date.

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July 28, 2020 Filed Jul 28, 2020 22:41 UTC Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 50,000 $0.00 Strike: $9.86 $0.00
Disclosure

SEC source: 0001209191-20-043887 · doc4.xml · derivative · entry 3

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 50,000 shares

Expires 2027-02-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The stock options will vest over four years; 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

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July 28, 2020 Filed Jul 28, 2020 22:41 UTC SaleCommon Stock 50,000 $15.40 $770,000.00
Disclosure

SEC source: 0001209191-20-043887 · doc4.xml · nonDerivative · entry 2

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,219

F1 · kind: The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 30, 2020.

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July 28, 2020 Filed Jul 28, 2020 22:41 UTC Exercise / conversionCommon Stock 50,000 $9.86 $493,000.00
Disclosure

SEC source: 0001209191-20-043887 · doc4.xml · nonDerivative · entry 1

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 23, 2020 Filed Jul 23, 2020 22:07 UTC Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 4,500 $0.00 Strike: $8.88 $0.00
Disclosure

SEC source: 0001209191-20-043534 · doc4.xml · derivative · entry 3

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,500

Underlying: Common Stock · 4,500 shares

Expires 2026-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The stock options will vest over four years; 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

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July 23, 2020 Filed Jul 23, 2020 22:07 UTC SaleCommon Stock 4,500 $12.41 $55,845.00
Disclosure

SEC source: 0001209191-20-043534 · doc4.xml · nonDerivative · entry 2

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,219

F1 · kind: The sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 30, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.16 to 12.56.

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July 23, 2020 Filed Jul 23, 2020 22:07 UTC Exercise / conversionCommon Stock 4,500 $8.88 $39,960.00
Disclosure

SEC source: 0001209191-20-043534 · doc4.xml · nonDerivative · entry 1

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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July 01, 2020 Filed Feb 16, 2021 13:41 UTC GiftCommon Stock 278,833 $12.15 $3,387,820.95
Disclosure

SEC source: 0000899243-21-006536 · doc5.xml · nonDerivative · entry 1

John T. Kim 2018 Irrevocable Trust Agreement Dated 2/6/18 · CIK 0001732522 · Exhibit 99.1

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,202,942

F1 · kind: On July 1, 2020, 278,833 shares of the Issuer's Common Stock were distributed by Qualified Annuity Trust under the John T. Kim 2018 Irrevocable Trust Agreement Dated February 6, 2018 to John T. Kim. Susan Y. Kim and John T. Kim are co-trustees of the trust.

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June 18, 2020 Filed Jun 18, 2020 23:27 UTC Exercise / conversionEmployee Stock Option (Right-to-Buy) · Derivative 4,500 $0.00 Strike: $8.88 $0.00
Disclosure

SEC source: 0001209191-20-037717 · doc4.xml · derivative · entry 3

Faust Megan · CIK 0001684564 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,000

Underlying: Common Stock · 4,500 shares

Expires 2026-09-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The stock options will vest over four years; 25% on the first anniversary of the grant date and 1/16 of the option will vest each quarter thereafter so that at the end of the fourth year, 100% of the option will be vested.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.