[144] UTSTARCOM HOLDINGS CORP. SEC Filing

Rhea-AI Filing Summary

UTStarcom Holdings Corp. filed a Form 144 Notice proposing the sale of 12,027 common shares through Morgan Stanley & Co. Incorporated on specified dates in September 2025. The filing lists five separate sale entries: 3,177 shares (09/09/2025), 2,517 shares (09/10/2025), 3,000 shares (09/12/2025), 1,800 shares (09/19/2025) and 1,533 shares (09/19/2025), with aggregate market values reported per entry totaling $27,382.00. The shares were acquired under the companys equity incentive plan between July 31, 2019 and August 31, 2021. The filing reports 9,156,634 shares outstanding and indicates no securities sold by the seller in the past three months. The signer certifies they are not aware of undisclosed material adverse information.

Positive

• Full disclosure of sale schedule with dates and share counts for each proposed sale
• Broker identified as Morgan Stanley & Co. Incorporated for all entries
• Acquisition source disclosed as the issuers equity incentive plan with acquisition dates
• Filer reports no sales in the past three months, which is explicitly stated

Negative

• None.

Insights

Securities Analyst

TL;DR Routine Form 144 disclosing proposed insider sales totaling 12,027 shares via Morgan Stanley in September 2025.

The filing is procedural: it reports specific lots acquired under the issuers equity incentive plan and the planned sale schedule with per-entry aggregate market values. It discloses the broker (Morgan Stanley) and the issuers outstanding share count, and states there were no sales by the filer in the prior three months. As a Form 144, this provides transparency about potential insider selling but contains no financial results, changes in ownership percentages, or other operational disclosures.

Corporate Governance Expert

TL;DR Standard insider sale notice showing equity-compensation origin and certification regarding material nonpublic information.

The document documents that the securities to be sold were granted via the companys equity incentive plan on specific dates in 2019 and 2021. The signer affirms absence of undisclosed material adverse information, consistent with Rule 144 attestation norms. The filing does not indicate any trading plan adoption date or 10b5-1 plan details, and it reports no sales in the prior three months.

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	3177	7625.00	9156634	09/09/2025	NASDAQ
Common	Morgan Stanley Morgan Stanley & Co. Incorporated 1585 Broadway New York NY 10036	2517	5788.00	9156634	09/10/2025	NASDAQ
Common	Morgan Stanley Morgan Stanley & Co. Incorporated 1585 Broadway New York NY 10036	3000	6600.00	9156634	09/12/2025	NASDAQ
Common	Morgan Stanley Morgan Stanley & Co. Incorporated 1585 Broadway New York NY 10036	1800	3996.00	9156634	09/19/2025	NASDAQ
Common	Morgan Stanley Morgan Stanley & Co. Incorporated 1585 Broadway New York NY 10036	1533	3373.00	9156634	09/19/2025	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	09/30/2020	EQUITY INCENTIVE PLAN-See Remarks	UTSTARCOM HOLDINGS CORP.			3177	09/30/2020	Equity Compensation
Common	07/31/2019	EQUITY INCENTIVE PLAN-See Remarks	UTSTARCOM HOLDINGS CORP.			2517	07/31/2019	Equity Compensation
Common	08/31/2021	EQUITY INCENTIVE PLAN-See Remarks	UTSTARCOM HOLDINGS CORP.			3000	08/31/2021	Equity Compensation
Common	08/31/2021	EQUITY INCENTIVE PLAN-See Remarks	UTSTARCOM HOLDINGS CORP.			1800	08/31/2021	Equity Compensation
Common	08/31/2021	EQUITY INCENTIVE PLAN-See Remarks	UTSTARCOM HOLDINGS CORP.			1533	08/31/2021	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

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 UTStarcom's (UTSI) Form 144 disclose about the number of shares to be sold?

The filing discloses a proposed sale of 12,027 common shares across five entries (3,177; 2,517; 3,000; 1,800; 1,533).

Who is the broker handling the proposed UTSI share sales?

All listed entries identify Morgan Stanley & Co. Incorporated (1585 Broadway, New York) as the broker.

When are the proposed UTSI share sales scheduled to occur?

The scheduled sale dates are 09/09/2025, 09/10/2025, 09/12/2025, and 09/19/2025 (two entries on 09/19/2025).

How were the UTSI shares being sold originally acquired?

The shares were acquired under the issuers equity incentive plan on dates between 07/31/2019 and 09/30/2020/08/31/2021 as shown per lot.

Does the Form 144 report any sales by the filer in the prior three months?

The filing states "Nothing to Report" for securities sold during the past three months by the filer.