What changed in this filing

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Item 9A. Controls and Procedures

2021-02-19 compared with 2020-02-19 · 77 added, 50 removed, 105 unchanged (55% of the section changed)

20 unchanged sentences

Directors, Executive Officers and Corporate Governance

The information required by this Item 10, with the exception of information relating to the Code of Business Conduct as disclosed below, is incorporated herein by reference from the material included under the captions “Election of Directors,” “Executive Officers,” and “Corporate Governance” in our definitive proxy statement (to be filed pursuant to Regulation 14A) for our 2020 Annual Meeting of Stockholders.

The information required by this Item 10, with the exception of information relating to the Code of Business Conduct as disclosed below, is incorporated herein by reference from the material included under the captions “Election of Directors,” “Executive Officers,” “Corporate Governance,” and “Delinquent Section 16(a) Reports” in our definitive proxy statement (to be filed pursuant to Regulation 14A) for our 2021 Annual Meeting of Stockholders.

We have a written Code of Business Conduct applicable to all employees, including our Chief Executive Officer, Chief Financial Officer, and Controller.

8 unchanged sentences

Securities to be

(In thousands)

(In thousands) (b)

Exercise Price of

20 unchanged sentences

Management contracts or compensatory plans or arrangements are identified by an asterisk.

Incorporated by Reference

Filed Herewith

Exhibit Number

Exhibit Description

Period Ending

Incorporated by Reference Filed Herewith

Exhibit Number Exhibit Description Form Period Ending Exhibit Filing Date

2.1 Sales Contract of Commodity Premises between Shanghai Waigaoqiao Free Trade Zone Xin Development Co., Ltd.

1 unchanged sentence

dated May 7, 2004.

10-Q 6/30/04 2.3 8/6/04

3.1 Certificate of Incorporation.

S-1 3.1 10/6/97

3.2 Certificate of Correction to Certificate of Incorporation.

S-1 3.1 4/8/98

3.3 Restated Bylaws as amended on November 5, 2013.

10-K 12/31/13 3.3 2/28/14

4.1 Specimen Common Stock Certificate.

S-1/A 4.1 3/31/98

4.2 Indenture, dated March 15, 2019, by and between Amkor Technology, Inc.

Bank National Association, as trustee, regarding the 6.625% Senior Notes due 2027.

8-K 4.1 3/5/19

4.3 Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934.

10-K 12/31/19 4.3 2/19/20

10.1 Form of Indemnification Agreement for directors and officers.

S-1/A 10.1 3/31/98

10.2 2009 Voting Agreement, dated as of March 26, 2009, between Amkor Technology, Inc., James J.

Kim and 915 Investments, LP.

8-K 10.1 4/1/09

10.3 Employment Letter Agreement, dated February 27, 2017, between Amkor Technology, Inc.

and Stephen D.

Incorporated by Reference

Filed Herewith

Exhibit Number

Exhibit Description

Period Ending

8-K 10.1 3/3/17

10.4 Form of Stock Option Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.*

10-Q 3/31/17 10.2 5/5/17

10.5 Form of Restricted Stock Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.*

10-Q 3/31/17 10.3 5/5/17

10.6 Form of Outside Director Stock Option Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.*

10-Q 3/31/17 10.4 5/5/17

10.7 Second Amended and Restated 2007 Equity Incentive Plan*

8-K 10.1 5/5/17

10.8 Amendment One to Second Amended and Restated 2007 Equity Incentive Plan*

10-Q 6/30/19 10.3 8/1/19

Incorporated by Reference Filed Herewith

Exhibit Number Exhibit Description Form Period Ending Exhibit Filing Date

10.9 Form of Global Stock Option Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.

10-Q 6/30/20 10.1 7/30/20

10.10 Form of Global Restricted Stock Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.

10-Q 6/30/20 10.2 7/30/20

10.11 Form of Global Outside Director Nonstatutory Stock Option Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.*

10-Q 9/30/20 10.1 10/30/20

10.12 Form of Global Outside Director Restricted Stock Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.*

10-Q 9/30/20 10.2 10/30/20

10.13 Form of Global Performance-Vested Restricted Stock Unit Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.

8-K 10.1 2/5/21

10.14 Form of Global Time-Vested Restricted Stock Unit Award Agreement under the Second Amended and Restated 2007 Equity Incentive Plan.

8-K 10.2 2/5/21

10.15 Amended and Restated Executive Incentive Bonus Plan*

8-K 10.2 5/5/17

10.16 Retirement and Release Agreement, dated May 15, 2019, between Amkor Technology, Inc.

10-Q 6/30/19 10.1 8/1/19

10.17 Employment Letter Agreement, dated June 24, 2020, between Amkor Technology, Inc.

and Guillaume Marie Jean Rutten.*

10-Q 6/30/20 10.3 10/30/20

10.18 Separation Agreement and Release, effective July 4, 2020, between Amkor Technology, Inc.

and Stephen D.

10-Q 6/30/20 10.4 10/30/20

10.19 Syndicated Loan Agreement among J-Devices Corporation, Sumitomo Mitsui Banking Corporation and other financial institutions, dated as of July 13, 2018 (English translation).

8-K 10.1 7/19/18

10.20 Guaranty by Amkor Technology, Inc.

in favor of Sumitomo Mitsui Banking Corporation and other financial institutions, dated as of July 13, 2018 (English translation).

8-K 10.2 7/19/18

10.21 Loan and Security Agreement, dated as of July 13, 2018, by and among Amkor Technology Singapore Holding Pte, Ltd., Bank of America, N.A.

and other financial institutions.

8-K 10.3 7/19/18

10.22 Amendment to Loan and Security Agreement, dated as of July 8, 2019, by and amount Amkor Technology Singapore Holding Pte, Ltd., Bank of America, N.A.

and other financial institutions.

10-Q 6/30/19 10.2 8/1/19

10.23 Guaranty and Security Agreement, dated as of July 13, 2018, by and among Amkor Technology, Inc., and Bank of America, N.A.

8-K 10.4 7/19/18

10.24 Syndicated Loan Agreement among J-Devices Corporation, Sumitomo Mitsui Banking Corporation and other financial institutions, dated as of December 23, 2019 (English translation)

8-K 10.1 12/26/19

Incorporated by Reference Filed Herewith

Exhibit Number Exhibit Description Form Period Ending Exhibit Filing Date

10.25 Guaranty by Amkor Technology, Inc.

in favor of Sumitomo Mitsui Banking Corporation and other financial institutions, dated as of December 23, 2019 (English translation)

8-K 10.2 12/26/19

10.26 Deed of Guaranty by Amkor Technology Singapore Holding Pte.

in favor of Sumitomo Mitsui Banking Corporation and other financial institutions, dated as of December 23, 2019 (English translation)

8-K 10.3 12/26/19

21.1 List of subsidiaries of the Registrant.

23.1 Consent of PricewaterhouseCoopers LLP.

Incorporated by Reference

Filed Herewith

Exhibit Number

Exhibit Description

Period Ending

Certification of Stephen D.

Kelley, Chief Executive Officer of Amkor Technology, Inc., Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as amended.

31.1 Certification of Guillaume Marie Jean Rutten , Chief Executive Officer of Amkor Technology, Inc., Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as amended.

31.2 Certification of Megan Faust, Chief Financial Officer of Amkor Technology, Inc., Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as amended.

1 unchanged sentence

Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

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Inline XBRL Taxonomy Extension Schema Document

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Inline XBRL Taxonomy Extension Presentation Linkbase Document

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Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)

101.INS Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.

101.SCH Inline XBRL Taxonomy Extension Schema Document X

101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document X

101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document X

101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document X

101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document X

104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) X

* Indicates management compensatory plan, contract or arrangement.

2 unchanged sentences

AMKOR TECHNOLOGY, INC.

/s/ Stephen D.

/s/ Guillaume Marie Jean Rutten

Guillaume Marie Jean Rutten

President and Chief Executive Officer

1 unchanged sentence

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Stephen D.

Kelley and Megan Faust, and each of them, his attorneys-in-fact, and agents, each with the power of substitution, for him and in his name, place and stead, in any and all capacities, to sign any and all amendments to this Report on Form 10-K, and all documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he might or could do in person, hereby ratifying and conforming all that said attorneys-in-fact and agents of any of them, or his or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Guillaume Marie Jean Rutten and Megan Faust, and each of them, his attorneys-in-fact, and agents, each with the power of substitution, for him and in his name, place and stead, in any and all capacities, to sign any and all amendments to this Report on Form 10-K, and all documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he might or could do in person, hereby ratifying and conforming all that said attorneys-in-fact and agents of any of them, or his or their substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

/s/ Stephen D.

President and Chief Executive Officer

February 19, 2020

/s/ Megan Faust

Executive Vice President and Chief Financial Officer

February 19, 2020

Executive Chairman

February 19, 2020

Vice Chairman

February 19, 2020

Name Title Date

/s/ Guillaume Marie Jean Rutten President and Chief Executive Officer February 19, 2021

Guillaume Marie Jean Rutten

/s/ Megan Faust Executive Vice President and Chief Financial Officer February 19, 2021

Kim Executive Chairman February 19, 2021

Kim Executive Vice Chairman February 19, 2021

/s/ Douglas A.

February 19, 2020

Alexander Director February 19, 2021

Carolin Director February 19, 2021

Name Title Date

/s/ Winston J.

February 19, 2020

/s/ Daniel Liao

February 19, 2020

/s/ MaryFrances McCourt

February 19, 2020

Churchill Director February 19, 2021

/s/ Daniel Liao Director February 19, 2021

/s/ MaryFrances McCourt Director February 19, 2021

MaryFrances McCourt

/s/ Robert R.

February 19, 2020

Morse Director February 19, 2021

Tily Director February 19, 2021

Watson Director February 19, 2021

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures