04/15/2026 | Press release | Distributed by Public on 04/15/2026 04:22
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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) | ||
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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% Convertible Note due 2027 (previously due 2025) | $22.50 | 04/12/2026 | P | 5,994 | (2) | (2) | Common Stock, par value $0.01 | 5,994 | (2)(3) | 105,868 | D(1) | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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ASE Test, Inc. 10 WEST FIFTH STREET, NANZIH DISTRICT KAOHSIUNG 00000 |
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| /s/ Alan Li, By: ASE Test, Inc., By: Alan Li, authorized signatory of ASE Test, Inc. | 04/15/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Joseph Tung, authorized signatory of ASE Technology Holding Co., Ltd. | 04/15/2026 | |
| **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) | The convertible notes with respect to shares of common stock, $0.01 par value (the "Common Stock"), of Ainos, Inc., a Texas corporation (the "Issuer") 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) | As previously reported, the Issuer and ASE Test, Inc. entered into a Convertible Note and Warrant Purchase Agreement, dated March 13, 2023 (the "2023 Convertible Note"), pursuant to which the Issuer issued convertible promissory notes to ASE Test, Inc. in the principal amount of $2,000,000 (the "Principal Amount") and six percent (6%) compounded interest of which was due on March 13, 2025. On March 10, 2025, the Issuer and ASE Test, Inc. entered into an amendment to the 2023 Convertible Note (the "Amended Convertible Note") to extend the maturity date to March 12, 2027 and change the conversion price from $7.50 per share to a conversion price equal to the lower of (a) $7.50 per share and (b) the higher of (x) the average closing price per share of the Issuer's common stock for the period of thirty (30) trading days prior to the day when the noteholder exercises the conversion right or (y) $4.50, subject to anti-dilutive adjustment as set forth in the Amended Convertible Note. |
| (3) | As a result of the five-for-one reverse stock split effected by the Issuer on June 30, 2025, the conversion price is now the lower of (a) $37.50 per share and (b) the higher of (x) the average closing price per share of the Issuer's common stock for the period of thirty (30) trading days prior to the day when the noteholder exercises the conversion right or (y) $22.50, subject to anti-dilutive adjustment as set forth in the Amended Convertible Note. |