CUSIP No.
00756M404
|
13D
|
Page
2
of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
ASE Enterprises Limited
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a)
☐
(b)
☐
|
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
☐
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Hong Kong
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7.
|
SOLE VOTING POWER
1,327,202,773
|
8.
|
SHARED VOTING POWER
0
|
9.
|
SOLE DISPOSITIVE POWER
1,327,202,773
|
10.
|
SHARED DISPOSITIVE POWER
0
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,327,202,773
|
12.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
☐
|
13
.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.7 %
1
|
14
.
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
______________
1
Based on 7,931,725,946 common shares outstanding as of July 31, 2016, as provided by
Advanced Semiconductor Engineering, Inc.
CUSIP No.
00756M404
|
13D
|
Page
3
of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
Aintree Limited
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a)
☐
(b)
☐
|
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
☐
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7.
|
SOLE VOTING POWER
1,327,202,773
|
8.
|
SHARED VOTING POWER
0
|
9.
|
SOLE DISPOSITIVE POWER
1,327,202,773
|
10.
|
SHARED DISPOSITIVE POWER
0
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,327,202,773
|
12.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
☐
|
13
.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.7%
2
|
14
.
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
______________
2
Based on 7,931,725,946 common shares outstanding as of July 31, 2016, as provided by
Advanced Semiconductor Engineering, Inc.
CUSIP No.
00756M404
|
13D
|
Page
4
of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
JC Holdings Limited
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a)
☐
(b)
☐
|
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
☐
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7.
|
SOLE VOTING POWER
1,327,202,773
|
8.
|
SHARED VOTING POWER
0
|
9.
|
SOLE DISPOSITIVE POWER
1,327,202,773
|
10.
|
SHARED DISPOSITIVE POWER
0
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,327,202,773
|
12.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
☐
|
13
.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.7%
3
|
14
.
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
______________
3
Based on 7,931,725,946 common shares outstanding as of July 31, 2016, as provided by
Advanced Semiconductor Engineering, Inc.
CUSIP No.
00756M404
|
13D
|
Page
5
of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
Value Tower Limited
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a)
☐
(b)
☐
|
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
☐
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
British Virgin Islands
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7.
|
SOLE VOTING POWER
355,754,196
|
8.
|
SHARED VOTING POWER
0
|
9.
|
SOLE DISPOSITIVE POWER
355,754,196
|
10.
|
SHARED DISPOSITIVE POWER
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
355,754,196
|
12.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
☐
|
13
.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.5%
4
|
14
.
|
TYPE OF REPORTING PERSON (See Instructions)
CO
|
______________
4
Based on 7,931,725,946 common shares outstanding as of July 31, 2016, as provided by Advanced Semiconductor
Engineering, Inc.
CUSIP No.
00756M404
|
13D
|
Page
6
of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
JASON C.S. CHANG
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a)
☐
(b)
☐
|
3.
|
SEC USE ONLY
|
4.
|
SOURCE OF FUNDS
OO
|
5.
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
☐
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Singapore
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
7.
|
SOLE VOTING POWER
1,794,579,181
|
8.
|
SHARED VOTING POWER
0
|
9.
|
SOLE DISPOSITIVE POWER
1,794,579,181
|
10.
|
SHARED DISPOSITIVE POWER
0
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,794,579,181
|
12.
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
☐
|
13
.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
22.6%
5
|
14
.
|
TYPE OF REPORTING PERSON (See Instructions)
IN
|
______________
5
Based
on 7,948,025,946 common shares which were adjusted to reflect 7,931,725,946 common shares outstanding as of July 31, 2016,
as provided by Advanced Semiconductor Engineering, Inc., plus 16,300,000 common shares Jason C.S. Chang may receive
upon exercise of options granted to him which have been vested as of the date hereof.
CUSIP No.
00756M404
|
13D
|
Page
7
of 10 Pages
|
Introduction
This Amendment No.2 (this “Amendment
No.2”) amends and supplements the Schedule 13D previously filed on March 18, 2015 (“Original Schedule 13D”),
as amended and supplemented by Amendment No. 1 to the Original Schedule 13D filed with the SEC on October 26, 2015 ( “Amendment
No. 1,” and together with the Original Schedule 13D, the “Previous Schedule 13D”, and together with this Amendment
No. 2, the “Schedule 13D”) relating to the common shares, par value NT$10.00 per share (the “Shares”),
of Advanced Semiconductor Engineering, Inc., a company incorporated under the laws of the Republic of China (the “Company”).
This Amendment No. 2 is being
filed to report changes to the beneficial ownership as a result of the open market purchases of Shares by one or more Reporting
Persons.
Unless otherwise stated herein,
the Previous Schedule 13D remains in full force and effect. Capitalized terms used therein and not defined herein have the meanings
ascribed thereto in the Previous Schedule 13D.
Item
3. Source and Amount of Funds or Other Consideration.
Item 3
of this Schedule 13D is supplemented and superseded, as the case may be, as follows:
During the period from May 24, 2012
to August 26, 2016, the Reporting Persons acquired Shares in open market transactions, subscribed for Shares in the
Company’s offering of new Shares and had options to purchase Shares which vested, which Shares in the aggregate
represented 1.003% of the outstanding total Shares of the Company (calculated based on 7,931,725,946 outstanding Shares as of
July 31, 2016 as provided by the Company). These transactions were made at an aggregate consideration of NT$2,497,699,303
(US$78,941,192, based on the exchange rate of NT$31.64 to US$1.00 on August 19, 2016 as set forth in the
statistical release published by the Federal Reserve Board of the United States), and were funded by Mr. Chang’s
personal funds.
Item
4. Purpose of Transaction
Other
than the Shares that ASEE, Aintree and Mr. Chang previously obtained prior to the Company’s initial public offering, the
Shares acquired by the Reporting Persons reported herein were acquired in open market transactions for investment purposes. The
Reporting Persons may, from time to time, make additional purchases of Shares or ADSs either in the open market or in privately-negotiated
transactions, depending upon their evaluation of the Company’s business, prospects and financial condition, the market for
the Shares the ADSs, other opportunities available to the Reporting Persons, general economic conditions, stock market conditions
and other factors. Depending upon the factors noted above, the Reporting Persons may also decide to hold or dispose of all or part
of their investments in Shares and/or enter into derivative transactions with institutional counterparties with respect to the
Company’s securities, including the Shares and the ADSs.
Except
as set forth in this Item 4, the Reporting Persons have no present plans or proposals that relate to or that would result
in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D of the Act.
Item
5. Interest in Securities of the Issuer
All ownership percentages set forth
in this Item 5 are based on 7,931,725,946 Shares outstanding as of July 31, 2016, as provided by the Company.
Items 5(a) and (b) are hereby amended
and restated as follows:
As of the date hereof, ASEE may
be deemed to beneficially own 1,327,202,773 Shares, which amounts to 16.7 % of the total outstanding Shares (based on 7,931,725,946
Shares outstanding as of July 31, 2016, as provided by the Company). ASEE has the sole voting power to vote and dispose of 1,327,202,773
Shares.
CUSIP No.
00756M404
|
13D
|
Page
8
of 10 Pages
|
As of the date hereof, Aintree
may be deemed to beneficially own 1,327,202,773 Shares, which amounts to 16.7% of the total outstanding Shares (based on 7,931,725,946
Shares outstanding as of July 31, 2016, as provided by the Company), as a result of the relationships described in Item 2. Aintree
has the sole voting power to vote and dispose of 1,327,202,773 Shares.
As of the date hereof, JC Holdings
may be deemed to beneficially own 1,327,202,773 Shares, which amounts to 16.7% of the total outstanding Shares (based on 7,931,725,946
Shares outstanding as of July 31, 2016, as provided by the Company), as a result of the relationships described in Item 2. JC Holdings
has the sole voting power to vote and dispose of 1,327,202,773 Shares.
As of the date hereof, Value
Tower may be deemed to beneficially own 355,754,196 Shares, which amounts to 4.5% of the total outstanding Shares (based
on7,931,725,946 Shares outstanding as of July 31, 2016, as provided by the Company). Value Tower has the sole voting power to
vote and dispose of 355,754,196 Shares.
As a result of the relationships
described in Item 2, Mr. Chang beneficially owns 1,327,202,773 Shares through ASEE, Aintree and JC Holdings and 355,754,196
Shares through Value Tower. In addition to the Shares Mr. Chang beneficially owns through ASEE, Aintree, JC Holdings and
Value Tower, Mr. Chang directly owns 95,322,212 Shares. Furthermore, as of the date hereof, under the Company’s
Employee Stock Option Plans, Mr. Chang owns vested options convertible into 16,300,000 Shares. In effect, as of the date
hereof, Mr. Chang may be deemed to beneficially own 1,794,579,181 Shares, which amounts to 22.6% of the total
outstanding Shares (based on 7,948,025,946 Shares which were adjusted to reflect 7,931,725,946 Shares outstanding as of July
31, 2016, as provided by Advanced Semiconductor Engineering, Inc., plus 16,300,000 Shares Mr. Chang may receive upon exercise
of options granted to him which have been vested as of the date here of). Mr. Chang has the sole voting power to vote and
dispose of 1,794,579,181 Shares.
Item 5(c) is hereby amended and
restated as follows:
The following table details the
transactions by Value Tower in the Shares during the period commencing sixty (60) days prior to August 26, 2016:
Date
|
Price per Share (USD translation is based on the exchange rate of NT$31.64 to US$1.00 on August 19, 2016 as set forth in the statistical release published by the Federal Reserve Board of the United States)
|
Type of Transaction
|
Number of Shares
|
8/17/16
|
NT$37.342(US$1.18)
(1)
|
Open Market Purchase
|
2,500,000
|
8/18/16
|
NT$37.402(US$1.18)
(2)
|
Open Market Purchase
|
3,000,000
|
8/19/16
|
NT$37.287(US$1.18)
(3)
|
Open Market Purchase
|
2,887,000
|
8/22/16
|
NT$36.971(US$1.17)
(4)
|
Open Market Purchase
|
3,113,000
|
8/23/16
|
NT$37.579(US$1.19)
(5)
|
Open Market Purchase
|
6,000,000
|
8/24/16
|
NT$38.105(US$1.20)
(6)
|
Open Market Purchase
|
6,000,000
|
8/25/16
|
NT$38.581(US$1.22)
(7)
|
Open Market Purchase
|
7,000,000
|
8/26/16
|
NT$38.670(US$1.22)
(8)
|
Open Market Purchase
|
3,800,000
|
Explanation of response:
1. The price reported in Item 5(c)
is a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$37.25(US$1.18) to NT$37.40(US$1.18),
inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the number
of shares bought at each separate price within the range set forth in this footnote.
2. The price reported in Item 5(c)
is a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$37.30(US$1.18) to NT$37.50(US$1.19),
inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the number
of shares bought at each separate price within the range set forth in this footnote.
CUSIP No.
00756M404
|
13D
|
Page
9
of 10 Pages
|
3. The price reported in Item 5(c) is
a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$37.10(US$1.17) to NT$37.45(US$1.18),
inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the number
of shares bought at each separate price within the range set forth in this footnote.
4. The price reported in Item 5(c)
is a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$36.65(US$1.16) to NT$37.20(US$1.18),
inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the number
of shares bought at each separate price within the range set forth in this footnote.
5. The price reported in Item 5(c)
is a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$37.30(US$1.18) to NT$37.75(US$1.19),
inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the number
of shares bought at each separate price within the range set forth in this footnote.
6. The price reported in Item 5(c)
is a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$37.95(US$1.20) to NT$38.20(US$1.21),
inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the number
of shares bought at each separate price within the range set forth in this footnote.
7. The price reported in Item 5(c)
is a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$38.25(US$1.21) to NT$38.80(US$1.23),
inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the number
of shares bought at each separate price within the range set forth in this footnote.
8. The price reported in Item 5(c)
is a weighted average price. These shares were bought in multiple transactions at prices ranging from NT$38.55(US$1.22) to NT$38.95(US$1.23), inclusive. The Reporting Persons undertake to provide to the staff of the SEC, upon request, full information regarding the
number of shares bought at each separate price within the range set forth in this footnote.
Item
6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Company.
The second paragraph of Item 6 is hereby
amended and restated as follows:
As of the date hereof, Mr.
Chang beneficially owns 1,327,202,773 Shares through ASEE, Aintree and JC Holdings and 355,754,196 Shares through Value
Tower and directly owns 95,322,212 Shares. Of the 1,327,202,773 Shares Mr. Chang beneficially owns through ASEE, Aintree
and JC Holdings, 248,471,522 Shares have been pledged but the share pledge does not affect the voting power of ASEE, Aintree,
JC Holdings or Mr. Chang over the Shares reported herein.
CUSIP No.
00756M404
|
13D
|
Page
10
of 10 Pages
|
SIGNATURES
After reasonable inquiry
and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: August 26, 2016
ASE ENTERPRISES LIMITED
|
|
By:
|
/s/ Jason C.S. Chang
|
|
Name: Jason C. S. Chang
|
|
Title: Director
|
Aintree
Limited
|
|
By:
|
/s/ Jason C.S. Chang
|
|
Name: Jason C.S. Chang
|
|
Title: Director
|
JC HOLDINGS LIMITED
|
|
By:
|
/s/ Jason C.S. Chang
|
|
Name: Jason C.S. Chang
|
|
Title: Director
|
VALUE TOWER LIMITED
|
|
By:
|
/s/ Jason C.S. Chang
|
|
Name: Jason C.S. Chang
|
|
Title: Director
|
JASON C.S. CHANG
|
|
By:
|
/s/ Jason C.S. Chang
|
|
Name: Jason C.S. Chang
|
|
|