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

UTStarcom Holdings Corp. Chief Technology Officer Lu Lingrong filed an initial Form 3 reporting existing equity holdings in the company.

Filing Impact

(Neutral)

Filing Sentiment

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Form Type

Rhea-AI Filing Summary

UTStarcom Holdings Corp. Chief Technology Officer Lu Lingrong filed an initial Form 3 reporting existing equity holdings in the company. The filing shows two vested stock option awards covering 4,500 and 3,958 shares of common stock at exercise prices of $4.28 and $4.56, expiring in late 2028 and 2027. It also reports direct ownership of 523 and 1,023 shares of common stock, with no new purchases or sales disclosed.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider Lu Lingrong

Role Chief Technology Officer

Type	Security	Shares	Price	Value
holding	Stock Option	--	--	--
holding	Stock Option	--	--	--
holding	Commom Stock	--	--	--
holding	Commom Stock	--	--	--

Holdings After Transaction: Stock Option — 8,458 contracts (Direct); Commom Stock — 1,546 shares (Direct)

Footnotes (2)

F1. Granted on November 30, 2021; 50% vested on November 30, 2022, and the remaining 50% vested on November 30, 2023.
F2. Granted on November 30, 2020; 50% vested on November 30, 2021, and the remaining 50% vested on November 30, 2022.

FAQ

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

What does the UTStarcom (UTSI) Form 3 filed by Lu Lingrong report?

The Form 3 reports Chief Technology Officer Lu Lingrong’s existing equity holdings in UTStarcom. It lists vested stock options on thousands of shares plus directly held common stock, without indicating any new purchases or sales in this filing.

How many UTStarcom (UTSI) stock options does Lu Lingrong report on Form 3?

The filing reports two stock option awards. One covers 4,500 shares of common stock at an exercise price of $4.28, and another covers 3,958 shares at $4.56, each with stated expiration dates in late 2028 and 2027, respectively.

What common stock holdings in UTStarcom (UTSI) does Lu Lingrong disclose?

The Form 3 lists direct ownership of UTStarcom common stock in two separate entries: 523 shares and 1,023 shares. These reflect existing holdings at the reporting date, with no indication in this filing of recent buying or selling activity.

Are Lu Lingrong’s UTStarcom (UTSI) stock options already vested?

Yes. Footnotes state one option grant was made in November 2021 and vested 50% in November 2022 and 50% in November 2023. Another grant from November 2020 vested 50% in November 2021 and 50% in November 2022, so both awards are fully vested.

Does the UTStarcom (UTSI) Form 3 show any recent insider trades by Lu Lingrong?

No recent trades are shown in this Form 3. It functions as an initial ownership report, listing existing stock option awards and common stock positions, rather than documenting open-market purchases, sales, or option exercises on the reported date.

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

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Accepted by SEC EDGAR 03/18/2026 - 10:25 AM

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^*

Lu Lingrong

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Technology 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)
Commom Stock	523	D
Commom Stock	1,023	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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Stock Option	⁽¹⁾	11/30/2028	Common Stock	4,500	$4.28	D
Stock Option	⁽²⁾	11/30/2027	Common Stock	3,958	$4.56	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.

2. Granted on November 30, 2020; 50% vested on November 30, 2021, and the remaining 50% vested on November 30, 2022.

	Lingrong Lu	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)

Source: View Original Filing on SEC EDGAR