SEC Form 4 · Updated Daily

UTSI

— UTSTARCOM HOLDINGS CORP. Ownership

Insider and institutional ownership derived from SEC Form 4 filings. Click any owner to see their holdings across every company they’ve filed on, and how their position has changed over time.

Financials Ownership

Current Reporting Owners

Owner	Role	Shares Owned	As Of	Last Activity
BARTON FRANCIS P	Officer	1,665,121	2008-08-31	M
WU YING	Director	1,340,687	2007-06-27	G
BLACKMORE PETER	Director · Officer	1,015,972	2010-08-03	S
Lu Ying (Jack)	Officer	564,122	2011-01-31	A
SHAH CAPITAL MANAGEMENT	10%+ Owner	346,391	2014-03-25	P
Cheng Edmond	Officer	310,700	2011-01-31	A
Luk Kenneth	Officer	300,000	2009-12-31	A
King David AJ	Officer	249,804	2008-08-11	S
Li Henry	Officer	200,000	2010-05-31	A
Green Mark	Officer	157,493	2009-03-04	S
LENZMEIER ALLEN U	Director	136,278	2009-09-30	A
CLARKE JEFF	Director	87,249	2009-09-30	A
RYAN BRUCE J	Director	76,838	2010-09-30	A
Patel Viraj J	Officer	65,515	2010-03-01	S
HORNER LARRY D /FA	Director	65,336	2008-09-30	A
CHRISTOPHER PHILIP	Officer	44,643	2008-02-29	M
Shan Ning	Director	40,097	2026-03-18	—
Wang Yong	Director	26,378	2026-03-18	—
Marsch Susan	Officer	22,211	2009-09-08	S
Shao Sean	Director	10,000	2026-08-20	S
XIE DAN JUN	Officer	1,161	2026-03-18	—
Lu Lingrong	Officer	1,023	2026-03-18	—
SOFTBANK AMERICA INC	10%+ Owner	0	2014-01-17	S
SOFTBANK HOLDINGS INC ET AL	10%+ Owner	0	2014-01-17	S
SOFTBANK CORP	10%+ Owner	0	2014-01-17	S
Li Xiaoping	Director	0	2011-06-24	J
Xie Linzhen	Director	0	2011-06-24	J
LU HONG LIANG	Director	0	2011-06-24	J
Du Baichuan	Director	0	2010-09-07	—
TOY THOMAS J	Director	0	2011-06-24	J
Wong William Shiu Kau	Director	0	2010-09-07	—

Recent Filings

Date	Owner	Activity	Shares	Price	Owned After
2026-08-20	Shao Sean	Open-market sale	5,000	$2.45	0
2026-08-20	Shao Sean	Open-market sale	5,000	$2.39	5,000
2026-08-20	Shao Sean	Open-market sale	4,533	$2.28	10,000
2026-03-31	Shao Sean	Open-market sale	6,000	$2.32	13,898.358
2026-03-30	Shao Sean	Open-market sale	9,572	$2.41	23,102.127
2026-03-30	Shao Sean	Open-market sale	4,422	$2.47	10,905.979
2026-03-18	Lu Lingrong	—	—	—	523
2026-03-18	Lu Lingrong	—	—	—	1,023
2026-03-18	Wang Yong	—	—	—	26,378
2026-03-18	XIE DAN JUN	—	—	—	1,161
2026-03-18	Shao Sean	—	—	—	44,641.25
2026-03-18	Shan Ning	—	—	—	40,097
2014-03-25	SHAH CAPITAL MANAGEMENT	Open-market buy	34,919	$2.56	346,391
2014-03-11	SHAH CAPITAL MANAGEMENT	Open-market buy	2,000,000	$2.67	8,426,057
2014-01-17	SOFTBANK CORP	Open-market sale	4,883,875	$2.54	0
2014-01-17	SOFTBANK HOLDINGS INC ET AL	Open-market sale	4,883,875	$2.54	0
2014-01-17	SOFTBANK AMERICA INC	Open-market sale	4,883,875	$2.54	0
2014-01-17	SHAH CAPITAL MANAGEMENT	Open-market buy	1,000,000	$2.54	6,426,057
2013-11-30	SHAH CAPITAL MANAGEMENT	—	—	—	7,543,496
2013-11-30	SHAH CAPITAL MANAGEMENT	—	—	—	6,426,057
2013-11-30	SHAH CAPITAL MANAGEMENT	—	—	—	311,333
2013-01-10	SHAH CAPITAL MANAGEMENT	—	—	—	934,422
2013-01-10	SHAH CAPITAL MANAGEMENT	—	—	—	16,045,988
2013-01-10	SHAH CAPITAL MANAGEMENT	—	—	—	3,726,538
2011-06-24	Lu Ying (Jack)	J (derivative)	400,000	$0.00	0
2011-06-24	Lu Ying (Jack)	J (derivative)	300,000	$0.00	0
2011-06-24	Lu Ying (Jack)	J	564,122	$0.00	0
2011-06-24	Cheng Edmond	J (derivative)	100,000	$0.00	0
2011-06-24	Cheng Edmond	J	310,700	$0.00	0
2011-06-24	TOY THOMAS J	J (derivative)	288,479	$0.00	0
2011-06-24	TOY THOMAS J	J	310,145	$0.00	0
2011-06-24	Xie Linzhen	J	0	$0.00	0
2011-06-24	Li Xiaoping	J	0	$0.00	0
2011-06-24	Du Baichuan	J (derivative)	80,000	$0.00	0
2011-06-24	Wong William Shiu Kau	J (derivative)	80,000	$0.00	0
2011-06-24	LU HONG LIANG	J (derivative)	46,083	$0.00	0
2011-06-24	LU HONG LIANG	J	2,770,342	$0.00	0
2011-06-16	Lu Ying (Jack)	Open-market sale	35,878	$1.53	564,122
2011-01-31	Lu Ying (Jack)	Grant / award (derivative)	400,000	$0.00	400,000
2011-01-31	Lu Ying (Jack)	Grant / award (derivative)	300,000	$0.00	300,000

Source: SEC EDGAR Form 4 filings. For informational purposes only — not investment advice.