[144] UTSTARCOM HOLDINGS CORP. SEC Filing

Rhea-AI Filing Summary

Rule 144 notice for UTSTARCOM HOLDINGS CORP. (UTSI): The filing notifies a proposed sale of 3,000 common shares through Morgan Stanley (aggregate market value $7,440) with an approximate sale date of 09/30/2025. The shares were acquired on 08/31/2022 under an equity incentive plan from UTSTARCOM HOLDINGS CORP. The filer reports five prior sales in September 2025 totaling 12,027 shares for gross proceeds of $27,382. The notice includes the seller's representation that they are unaware of any undisclosed material adverse information about the issuer.

Positive

• Filer provided detailed transactional disclosure including dates, amounts, broker, and acquisition method (equity incentive plan) which supports regulatory compliance
• Seller included the required representation that no undisclosed material adverse information is known

Negative

• Multiple insider sales in September 2025 totaling 12,027 shares were executed prior to the proposed sale, which may be viewed negatively by some investors

Insights

Securities Compliance Analyst

TL;DR: Proper Rule 144 notice filed for planned sale; prior September 2025 sales are disclosed and compliance representation is included.

The filing documents a proposed sale of 3,000 common shares via Morgan Stanley and discloses five completed sales earlier in September 2025 totaling 12,027 shares for $27,382 in gross proceeds. Acquisition source is an equity incentive plan dated 08/31/2022. From a compliance perspective, the form contains the required transaction details and the seller's statutory representation about nondisclosure of material adverse information, which helps satisfy Rule 144 procedural requirements.

Equity Securities Analyst

TL;DR: Insider sales disclosed but size appears immaterial relative to outstanding shares; informational for market transparency.

The planned sale of 3,000 shares and prior 12,027-share dispositions represent a small fraction of the reported 9,156,634 shares outstanding. The reported aggregate market value for the planned sale is $7,440, indicating low nominal dollar amounts. These disclosures provide transparency on insider liquidity but, based on the numbers in this notice alone, are unlikely to be materially value-driving for UTSI.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Morgan Stanley & Co. Incorporated 1585 Broadway New York NY 10036	3000	7440.00	9156634	09/30/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/31/2022	EQUITY INCENTIVE PLAN	UTSTARCOM HOLDINGS CORP.			3000	08/31/2022	Equity Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Sean Shao 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD BINJIANG DISTRICT HANGZHOU F4 310053	Common	09/09/2025	3177	7625.00
Sean Shao 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD BINJIANG DISTRICT HANGZHOU F4 310053	Common	09/10/2025	2517	5788.00
Sean Shao 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD BINJIANG DISTRICT HANGZHOU F4 310053	Common	09/12/2025	3000	6600.00
Sean Shao 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD BINJIANG DISTRICT HANGZHOU F4 310053	Common	09/19/2025	1800	3996.00
Sean Shao 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD BINJIANG DISTRICT HANGZHOU F4 310053	Common	09/19/2025	1533	3373.00

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filed for UTSTARCOM HOLDINGS CORP. (UTSI) disclose?

The notice discloses a proposed sale of 3,000 common shares (aggregate market value $7,440) planned for 09/30/2025, acquisition under an equity incentive plan on 08/31/2022, and five prior sales in September 2025 totaling 12,027 shares for $27,382.

Who is the broker handling the proposed UTSI sale?

The filing lists Morgan Stanley & Co. Incorporated (address: 1585 Broadway, New York, NY) as the broker for the proposed sale.

How many UTSI shares are outstanding according to the Form 144?

The filing reports 9,156,634 shares outstanding for the issuer.

When were the shares to be sold originally acquired?

The 3,000 shares to be sold were acquired on 08/31/2022 under an equity incentive plan from UTSTARCOM HOLDINGS CORP.

How much did prior September 2025 insider sales raise in gross proceeds?

The five disclosed sales in September 2025 generated combined gross proceeds of $27,382.