UTStarcom director plans 2026 stock sales

UTSTARCOM HOLDINGS CORP.

Rhea-AI Filing Summary

UTSTARCOM HOLDINGS CORP. (UTSI) director Sean Shao filed a notice to sell shares under Rule 144. The planned sales cover 2,275 common shares valued at $5,482.75 and an additional 12,258 common shares valued at $29,541.78, with sales through Morgan Stanley & Co. on or after August 21, 2026. The shares were issued under equity incentive plans dated August 31, 2024 and September 30, 2025.

Key Figures

Planned sale block 1: 2,275 shares Planned sale block 1 value: $5,482.75 Planned sale block 2: 12,258 shares +5 more

8 metrics

Planned sale block 1 2,275 shares Common stock to be sold with listed value $5,482.75

Planned sale block 1 value $5,482.75 Approximate market value for 2,275 common shares

Planned sale block 2 12,258 shares Common stock to be sold with listed value $29,541.78

Planned sale block 2 value $29,541.78 Approximate market value for 12,258 common shares

Shares outstanding 9,176,950 shares Common shares outstanding referenced alongside planned sales

Planned sale date 08/21/2026 Date listed for both blocks of common stock sales

Grant date block 1 08/31/2024 Equity incentive plan grant date for 2,275 shares

Grant date block 2 09/30/2025 Equity incentive plan grant date for 12,258 shares

Key Terms

Rule 144, equity incentive plan, equity compensation

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

equity incentive plan financial

"Common | 08/31/2024 | EQUITY INCENTIVE PLAN | HOLDINGS CORP"

An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

equity compensation financial

"2275 | 08/31/2024 | Equity Compensation"

Equity compensation is pay given to employees, executives or contractors in the form of company ownership—such as stock, stock options or restricted shares—rather than just cash. It matters to investors because it can align workers' incentives with shareholders (like paying someone in slices of the same pie they help grow), but it also increases the number of shares outstanding and company expenses, affecting ownership percentages and earnings per share.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 filing by UTSI director Sean Shao disclose?

The filing states that Sean Shao, a director of UTSTARCOM HOLDINGS CORP. (UTSI), plans to sell common shares under Rule 144. The shares come from equity incentive plans dated August 31, 2024 and September 30, 2025.

How many UTSI shares does Sean Shao plan to sell under this Form 144?

The notice covers 2,275 common shares in one block and 12,258 common shares in another. These shares were awarded under the company’s equity incentive plans and are intended for resale under Rule 144.

What is the approximate market value of the UTSI shares in Sean Shao’s planned Rule 144 sales?

The filing lists values of $5,482.75 for 2,275 shares and $29,541.78 for 12,258 shares. These figures reflect the approximate aggregate market values associated with the respective blocks of common stock.

When are the UTSI shares expected to be sold according to the Form 144?

The planned sales are dated August 21, 2026 for both blocks of common shares. This date reflects when the shares may be sold on the market under the Rule 144 notice.

On which exchange and through which broker are the UTSI shares intended to be sold?

The notice identifies Morgan Stanley & Co. Incorporated as the broker and NASDAQ as the trading market. These details apply to both blocks of UTSI common shares covered by the filing.

What is the source of the UTSI shares being sold by Sean Shao?

The common shares come from the company’s Equity Incentive Plan. One grant is dated August 31, 2024 for 2,275 shares and another is dated September 30, 2025 for 12,258 shares as equity compensation.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/20/2026 - 06:26 AM Accepted by SEC EDGAR 08/20/2026 - 06:26 AM Learn about SEC filing dates

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	0001432657
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	UTSTARCOM HOLDINGS CORP.
SEC File Number	001-35216
Address of Issuer	4TH FLOOR, SOUTH WING, 368 LIUHE ROAD BINJIANG DISTRICT HANGZHOU, P.R. CHINA NA
Phone	86 571 8192 8888
Name of Person for Whose Account the Securities are To Be Sold	Shao Sean
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	Director

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 & Co. Incorporated 1585 Broadway New York NY 10036	2275	5482.75	9176950	08/21/2026	NASDAQ
Common	Morgan Stanley & Co. Incorporated 1585 Broadway New York NY 10036	12258	29541.78	9176950	08/21/2026	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	08/31/2024	EQUITY INCENTIVE PLAN	UTSTARCOM HOLDINGS CORP			2275	08/31/2024	Equity Compensation
Common	09/30/2025	EQUITY INCENTIVE PLAN	UTSTARCOM HOLDINGS CORP			12258	09/30/2025	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

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	08/20/2026
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	Sean Shao
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)