UTStarcom CEO Li Hua reports stock option holding

UTStarcom Holdings Corp. director and CEO Li Hua filed an initial ownership report showing an existing stock option position.

Accepted by SEC EDGAR 03/18/2026 - 09:52 AM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

UTStarcom Holdings Corp. director and CEO Li Hua filed an initial ownership report showing an existing stock option position. The filing lists a stock option on common stock covering 5,625 underlying shares at an exercise price of $4.28 per share, expiring on November 30, 2028. According to the footnote, the option was granted on November 30, 2021, with 50% vesting on November 30, 2022 and the remaining 50% on November 30, 2023, so the award is now fully vested. This Form 3 does not reflect a new buy or sell but records Li Hua’s current derivative holdings as an insider.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Li Hua

Role CEO and Director of the Board

Type	Security	Shares	Price	Value
Holding	Stock Option	--	--	--

Holdings: Stock Option — 5,625 contracts (Direct)

Footnotes (1)

1. F1. Granted on November 30, 2021; 50% vested on November 30, 2022, and the remaining 50% vested on November 30, 2023.

FAQ

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

What does Li Hua’s Form 3 filing at UTStarcom (UTSI) report?

Li Hua’s Form 3 reports an existing stock option position. It lists a fully vested option on 5,625 UTStarcom common shares at a $4.28 exercise price, expiring November 30, 2028, establishing his initial reported insider holdings.

How many UTStarcom shares are covered by Li Hua’s reported stock option?

The reported option covers 5,625 underlying common shares. This stock option gives Li Hua the right to buy those shares at a fixed $4.28 exercise price before the November 30, 2028 expiration date, reflecting his derivative exposure to UTStarcom equity.

What is the exercise price and expiration of Li Hua’s UTStarcom option?

The stock option has a $4.28 exercise price and expires November 30, 2028. This means Li Hua can purchase up to 5,625 UTStarcom common shares at $4.28 any time before that expiration, subject to the option’s terms.

Is Li Hua’s UTStarcom Form 3 a new stock purchase or sale?

The Form 3 does not show a new purchase or sale. It is an initial ownership report that records Li Hua’s existing, fully vested stock option on 5,625 shares, rather than a fresh market transaction in UTStarcom stock.

When did Li Hua’s UTStarcom option vest according to the filing footnote?

The option vested in two equal installments. The footnote states it was granted November 30, 2021, with 50% vesting on November 30, 2022 and the remaining 50% vesting on November 30, 2023, so the entire award is now exercisable.

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

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Li Hua

(Last) (First) (Middle)

4TH FLOOR, SOUTH WING

368 LIUHE ROAD, BINJIANG DISTRICT

(Street)

HANGZHOU ZHEJIANG 310053

(City) (State) (Zip)

CHINA

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
UTSTARCOM HOLDINGS CORP. [ UTSI ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO and Director of the Board

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option	(1)	11/30/2028	Common Stock	5,625	$4.28	D

Explanation of Responses:

1. Granted on November 30, 2021; 50% vested on November 30, 2022, and the remaining 50% vested on November 30, 2023.

	Hua Li	03/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)