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  4. [Form 3] UTSTARCOM HOLDINGS CORP. Initial Statement of Beneficial Ownership

UTStarcom (NASDAQ: UTSI) CHRO lists fully vested stock options

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

UTStarcom Holdings Corp. filed an initial Form 3 for Chief Human Resources Officer Chen Yinghua, outlining existing stock option holdings rather than new trades.

Chen holds options to acquire 4,500 shares of common stock at an exercise price of $4.2800 expiring on November 30, 2028, and options to acquire 3,958 shares at $4.5600 expiring on November 30, 2027. Footnotes state these options were granted in 2020 and 2021 and are fully vested.

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Insider Chen Yinghua
Role Chief Human Resources Officer
Type Security Shares Price Value
holding Stock Option -- -- --
holding Stock Option -- -- --
Holdings After Transaction: Stock Option — 4,500 shares (Direct)
Footnotes (1)
  1. Granted on November 30, 2021; 50% vested on November 30, 2022, and the remaining 50% vested on November 30, 2023. Granted on November 30, 2020; 50% vested on November 30, 2021, and the remaining 50% vested on November 30, 2022.
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FAQ

What does the UTStarcom (UTSI) Form 3 filing for Chen Yinghua show?
The Form 3 shows Chief Human Resources Officer Chen Yinghua’s existing stock option holdings in UTStarcom Holdings Corp.. It lists vested options over common stock, including exercise prices, share amounts, and expiration dates, without reporting any recent purchases or sales.

How many UTStarcom (UTSI) shares can Chen Yinghua acquire under reported options?
Chen Yinghua can acquire a total of 8,458 shares of UTStarcom common stock through vested options. These consist of 4,500 underlying shares from one grant and 3,958 underlying shares from a second grant, as detailed in the Form 3 filing.

What are the exercise prices of Chen Yinghua’s UTStarcom (UTSI) stock options?
The reported stock options have exercise prices of $4.2800 and $4.5600 per share. Each price applies to a separate option grant over UTStarcom common stock, defining the cost per share if the options are exercised in the future.

When do Chen Yinghua’s UTStarcom (UTSI) stock options expire?
The options expiring later have a deadline of November 30, 2028, while the other grant expires on November 30, 2027. These expiration dates mark the last days Chen can exercise the respective vested options for UTStarcom common stock.

Are Chen Yinghua’s UTStarcom (UTSI) stock options vested according to the filing?
Yes. Footnotes state the 2021 grant vested 50% on November 30, 2022 and 50% on November 30, 2023, and the 2020 grant vested 50% on November 30, 2021 and 50% on November 30, 2022, meaning both grants are fully vested.

Does the UTStarcom (UTSI) Form 3 indicate any recent insider trading by Chen Yinghua?
No recent trading activity is indicated. The Form 3 records existing vested stock option positions for Chen Yinghua, including exercise prices and expiration dates, but does not report open-market purchases, sales, or option exercises tied to a specific transaction code.
SEC Form 3
FORM 3UNITED 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*
Chen Yinghua
(Last)(First)(Middle)
4TH FLOOR, SOUTH WING
368 LIUHE ROAD, BINJIANG DISTRICT
(Street)
HANGZHOUZHEJIANG310053
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Human Resources Officer
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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 ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (1)11/30/2028Common Stock4,500$4.28D
Stock Option (2)11/30/2027Common Stock3,958$4.56D
Explanation of Responses:
1. Granted on November 30, 2021; 50% vested on November 30, 2022, and the remaining 50% vested on November 30, 2023.
2. Granted on November 30, 2020; 50% vested on November 30, 2021, and the remaining 50% vested on November 30, 2022.
Yinghua Chen03/18/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR