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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
| 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. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| 6% Convertible Note due 2025 | 03/13/2023 | 03/13/2025 | Common Stock, par value $0.01 per share | 282,666 | $ 7.5 | D (1) | |
| 6% Convertible Note due 2027 | (2) | (2) | Common Stock, par value $0.01 per share | 2,000,000 | $ 4.5 | D (1) | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| ASE Test, Inc. 10 WEST FIFTH STREET, NANZIH DISTRICT KAOHSIUNG, F5 00000 |
X | |||
| ASE Technology Holding Co., Ltd. 26, CHIN 3RD ROAD NANZIH DIST. KAOHSIUNG, F5 00000 |
X | |||
| /s/ Alan Li, By: ASE Test, Inc., By: Alan Li, authorized signatory of ASE Test, Inc. | 05/08/2024 | |
| **Signature of Reporting Person | Date | |
| /s/ Joseph Tung, authorized signatory of ASE Technology Holding Co., Ltd. | 05/08/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(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) | The securities reported herein are directly held by ASE Test, Inc., an indirectly wholly-owned subsidiary of ASE Technology Holding Co., Ltd. Accordingly, ASE Technology Holding Co., Ltd. is reporting indirect ownership of the securities held by ASE Test, Inc. |
| (2) | The Issuer and ASE Test, Inc. entered into a Convertible Note and Warrant Purchase Agreement, dated May 3, 2024. The closing date and date of issuance of the Convertible Note and Warrant willbe mutually determined by the parties. The expiration date of the notes will be three years from the date of issuance. |