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Director Chang Chien Shen adds ASE Technology (NYSE: ASX) shares via option exercise

Filing Impact
(Very High)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

ASE Technology Holding Co., Ltd. director Chang Chien Shen exercised stock options to acquire 4,500,000 Ordinary Shares on April 9, 2026. He exercised 3,000,000 options at NT$41.10 per share and 1,500,000 options at NT$99.70 per share, converting derivative awards into shares.

Following these exercises, he held 6,247,647 Ordinary Shares directly. The filing also shows indirect holdings of 684,327,886 Ordinary Shares through ASE Enterprises Limited and 265,024,820 Ordinary Shares through Value Tower Ltd., indicating a substantial overall position associated with the director.

Positive

  • None.

Negative

  • None.
Insider Chang Chien Shen
Role Director
Type Security Shares Price Value
Exercise Stock Option (Right to Buy) 3,000,000 $0.00 --
Exercise Stock Option (Right to Buy) 1,500,000 $0.00 --
Exercise Ordinary Shares 3,000,000 $41.10 $123.30M
Exercise Ordinary Shares 1,500,000 $99.70 $149.55M
holding Ordinary Shares -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Stock Option (Right to Buy) — 0 shares (Direct); Ordinary Shares — 4,747,647 shares (Direct); Ordinary Shares — 684,327,886 shares (Indirect, By ASE Enterprises Limited)
Footnotes (1)
  1. New Taiwan Dollars. Reflects stock options to purchase Ordinary Shares. These stock options were granted on November 23, 2018 and are fully vested and exercisable. Reflects stock options to purchase Ordinary Shares. These stock options were granted on August 18, 2023 and vest in seven semi-annual installments. 40% of the options vested on August 18, 2025, 10% of the options vested on February 18, 2026, and the remaining installments will vest at10% each on August 18 2026, February 18, 2027, August 18, 2027, February 18, 2028 and August 18, 2028.
Options exercised at NT$41.10 3,000,000 shares Stock options exercised into Ordinary Shares on April 9, 2026
Options exercised at NT$99.70 1,500,000 shares Stock options exercised into Ordinary Shares on April 9, 2026
Total shares acquired via exercise 4,500,000 Ordinary Shares Derivative exercises (code M) on April 9, 2026
Direct holdings after transactions 6,247,647 Ordinary Shares Direct ownership following option exercises
Indirect holdings via ASE Enterprises Limited 684,327,886 Ordinary Shares Indirect ownership designation in Form 4
Indirect holdings via Value Tower Ltd. 265,024,820 Ordinary Shares Indirect ownership designation in Form 4
2018 option grant vesting status Fully vested and exercisable November 23, 2018 stock option grant per footnote
2023 grant vesting milestones 40% on Aug 18, 2025; 10% on Feb 18, 2026 Semi-annual vesting schedule for August 18, 2023 grant
Stock Option (Right to Buy) financial
"security_title: "Stock Option (Right to Buy)" for derivative entries"
derivative exercise/conversion financial
"transaction_action: "derivative exercise/conversion" describing code M transactions"
Ordinary Shares financial
"underlying_security_title and security_title fields list "Ordinary Shares""
Ordinary shares are a type of ownership stake in a company, giving shareholders a right to participate in the company’s profits and decision-making through voting. They are similar to owning a piece of a business, and their value can rise or fall based on the company's performance. Investors buy ordinary shares to potentially earn dividends and benefit from the company's growth over time.
indirect ownership financial
"nature_of_ownership: "By ASE Enterprises Limited" and "By Value Tower Ltd.""
fully vested and exercisable financial
"footnote notes 2018 stock options are "fully vested and exercisable""
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Chang Chien Shen
(Last)(First)(Middle)
ROOM 1901, NO. 333
SECTION 1 KEELUNG RD.
(Street)
TAIPEITAIWAN110
(City)(State)(Zip)
TAIWAN
(Country)		2. Issuer Name and Ticker or Trading Symbol
ASE Technology Holding Co., Ltd. [ ASX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/09/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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 Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Ordinary Shares04/09/2026M3,000,000A$41.1(1)4,747,647D
Ordinary Shares04/09/2026M1,500,000A$99.7(1)6,247,647D
Ordinary Shares684,327,886IBy ASE Enterprises Limited
Ordinary Shares265,024,820IBy Value Tower Ltd.
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)$41.1(1)04/09/2026M3,000,000 (2)11/22/2028Ordinary Shares3,000,000$00D
Stock Option (Right to Buy)$99.7(1)04/09/2026M1,500,000 (3)08/17/2033Ordinary Shares1,500,000$01,500,000D
Explanation of Responses:
1. New Taiwan Dollars.
2. Reflects stock options to purchase Ordinary Shares. These stock options were granted on November 23, 2018 and are fully vested and exercisable.
3. Reflects stock options to purchase Ordinary Shares. These stock options were granted on August 18, 2023 and vest in seven semi-annual installments. 40% of the options vested on August 18, 2025, 10% of the options vested on February 18, 2026, and the remaining installments will vest at10% each on August 18 2026, February 18, 2027, August 18, 2027, February 18, 2028 and August 18, 2028.
/s/ Georgette Yeh, attorney-in-fact for Chien Shen Chang04/13/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did ASE Technology (ASX) director Chang Chien Shen report in this Form 4?

He reported exercising stock options to acquire 4,500,000 Ordinary Shares of ASE Technology on April 9, 2026, converting previously granted options into shares and increasing his directly held stake to 6,247,647 shares.

How many ASE Technology (ASX) options did Chang Chien Shen exercise and at what prices?

He exercised 3,000,000 stock options at NT$41.10 per share and 1,500,000 stock options at NT$99.70 per share, for a total of 4,500,000 Ordinary Shares acquired through derivative exercise transactions.

What is Chang Chien Shen’s direct shareholding in ASE Technology (ASX) after these transactions?

After the option exercises, Chang Chien Shen directly held 6,247,647 Ordinary Shares. This figure reflects his direct ownership position as of the reported date, separate from any additional indirect holdings through related entities.

What indirect ASE Technology (ASX) holdings are associated with Chang Chien Shen?

The filing lists 684,327,886 Ordinary Shares held indirectly through ASE Enterprises Limited and 265,024,820 Ordinary Shares held indirectly through Value Tower Ltd., indicating significant indirect ownership interests associated with the director.

Were the ASE Technology (ASX) options fully vested when exercised by Chang Chien Shen?

One grant reflected fully vested and exercisable stock options from November 23, 2018, while another grant from August 18, 2023 vests in semi-annual installments, with portions already vested and exercisable by the transaction date.