Notice of Proposed Sale · 144
UTStarcom Holdings Corp.
UTSINASDAQEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- UTSTARCOM HOLDINGS CORP.
- Issuer CIK
- 0001030471
- SEC file number
- 001-35216
- Phone
- 86 571 8192 8888
- Person for whose account securities are to be sold
- Shao Sean
- Relationships to issuer
- Director
- Street
- 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD
- Street (continued)
- BINJIANG DISTRICT
- City
- HANGZHOU, P.R.
- State / country code
- F4
- Postal code
- NA
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 2,275 | 5,482.75 | 9,176,950 | 08/21/2026 | NASDAQ | Morgan Stanley & Co. Incorporated |
| Common | 12,258 | 29,541.78 | 9,176,950 | 08/21/2026 | NASDAQ | Morgan Stanley & Co. Incorporated |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley & Co. Incorporated
- Street
- 1585 Broadway
- City
- New York
- State / country code
- NY
- Postal code
- 10036
Broker / market maker — proposed row 2, entry 1
- Name
- Morgan Stanley & Co. Incorporated
- Street
- 1585 Broadway
- City
- New York
- State / country code
- NY
- Postal code
- 10036
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 08/31/2024 | EQUITY INCENTIVE PLAN | UTSTARCOM HOLDINGS CORP | 2,275 | N | 08/31/2024 | Equity Compensation |
| Common | 09/30/2025 | EQUITY INCENTIVE PLAN | UTSTARCOM HOLDINGS CORP | 12,258 | N | 09/30/2025 | Equity Compensation |
Prior-sale reporting
- Nothing to report for the preceding three months
- Y
Notice signature
- Notice date
- 08/20/2026
- Signed
- Sean Shao
Company context
UTStarcom is committed to helping network operators offer their customers the most innovative, reliable and cost-effective communication services. UTStarcom offers high performance advanced equipment optimized for the most rapidly growing network functions, such as mobile backhaul, metro aggregation and broadband access. UTStarcom has operations and customers around the world, with a special focus on Japan, India and China. UTStarcom was founded in 1991 and listed its shares on the Nasdaq Market in 2000 (symbol: UTSI). For more information about UTStarcom, please visit http://www.utstar.com.