UTStarcom (UTSI) CFO Dan Jun Xie reports initial equity holdings

Rhea-AI Filing Summary

UTStarcom Holdings Corp. Chief Financial Officer Dan Jun Xie filed an initial ownership report showing existing equity holdings. The filing lists stock options to buy Common Stock, including grants covering 1,979 shares at an exercise price of 4.56 expiring on November 30, 2027, and grants covering 2,250 shares at an exercise price of 4.28 expiring on November 30, 2028. It also reports direct ownership of 1,161 shares of Common Stock as of the reporting date.

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

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1. Name and Address of Reporting Person^*

XIE DAN JUN

(Last) (First) (Middle)

4TH FLOOR, SOUTH WING,

368 LIUHE ROAD, BINJIANG

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

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)
Common Stock	1,161	D

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 (Right to Buy)	11/30/2021	11/30/2027	Common Stock	1,979	$4.56	D
Stock Option (Right to Buy)	11/30/2022	11/30/2027	Common Stock	1,979	$4.56	D
Stock Option (Right to Buy)	11/30/2022	11/30/2028	Common Stock	2,250	$4.28	D
Stock Option (Right to Buy)	11/30/2023	11/30/2028	Common Stock	2,250	$4.28	D

Explanation of Responses:

	XIE DANJUN	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)

FAQ

What does the UTStarcom (UTSI) Form 3 filing by CFO Dan Jun Xie show?

The Form 3 shows Chief Financial Officer Dan Jun Xie’s existing equity position, including stock options and Common Stock. It is an initial ownership report, not a record of new purchases or sales, and establishes his current direct holdings in UTStarcom.

What stock options does the UTSI CFO report in this Form 3?

The CFO reports stock options to buy UTStarcom Common Stock, including grants covering 1,979 shares at 4.56 per share expiring on November 30, 2027, and grants covering 2,250 shares at 4.28 per share expiring on November 30, 2028, all held directly.

How many UTStarcom (UTSI) common shares does the CFO directly own?

The filing shows direct ownership of 1,161 shares of UTStarcom Common Stock following the reported holdings. This reflects shares already owned as of the Form 3 date, separate from the additional shares that could be acquired through the reported stock options.

Does the UTStarcom CFO Form 3 indicate any recent buying or selling activity?

No, the Form 3 lists holdings with transaction codes and directions shown as unknown, indicating it is an initial ownership statement rather than documenting new buys or sells. It simply discloses current option awards and Common Stock held directly.

What are the exercise prices and expirations of the UTSI CFO’s stock options?

The reported options have exercise prices of 4.56 and 4.28 per share. They are scheduled to expire on November 30, 2027 and November 30, 2028, respectively, giving the CFO the right to purchase UTStarcom Common Stock before those dates.