UTSTARCOM HOLDINGS CORP. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| SHAH CAPITAL MANAGEMENT | — | Purchase | 34,919 | $2.56 | $89,393 | 346,391 | Mar 25, 2014 |
| SHAH CAPITAL MANAGEMENT | — | Purchase | 2,000,000 | $2.67 | $5,340,000 | 8,426,057 | Mar 11, 2014 |
| SHAH CAPITAL MANAGEMENT | — | Purchase | 1,000,000 | $2.54 | $2,540,000 | 6,426,057 | Jan 17, 2014 |
| SOFTBANK HOLDINGS INC ET AL | — | Sale | 4,883,875 | $2.54 | $12,405,043 | — | Jan 17, 2014 |
| LU HONG LIANG | — | Other | 229,000 | — | — | — | Jun 24, 2011 |
| Li Xiaoping | — | Other | — | — | — | — | Jun 24, 2011 |
| Xie Linzhen | — | Other | — | — | — | — | Jun 24, 2011 |
| TOY THOMAS J | — | Other | 310,145 | — | — | — | Jun 24, 2011 |
| Cheng Edmond | Senior VP and CFO | Award / Grant | 100,000 | — | — | 310,700 | Jun 24, 2011 |
| Lu Ying (Jack) | CEO & President | Sale | 35,878 | $1.53 | $54,893 | 564,122 | Jun 16, 2011 |
| Lu Ying (Jack) | CEO & President | Other | 564,122 | — | — | — | Jan 31, 2011 |
| TOY THOMAS J | — | Award / Grant | 144,239 | — | — | 310,144 | Sep 30, 2010 |
| RYAN BRUCE J | — | Award / Grant | 30,414 | — | — | 76,838 | Sep 30, 2010 |
| LU HONG LIANG | — | Award / Grant | 23,041 | — | — | 3,042,414 | Sep 30, 2010 |
| LU HONG LIANG | — | Award / Grant | 23,041 | — | — | 3,042,414 | Sep 30, 2010 |
| LU HONG LIANG | — | Award / Grant | 23,041 | — | — | 3,042,414 | Sep 30, 2010 |
| BLACKMORE PETER | CEO & President | Sale | 5,076 | $2.04 | $10,355 | 1,015,972 | Aug 3, 2010 |
| BLACKMORE PETER | CEO & President | Sale | 145,018 | $2.07 | $300,187 | 1,021,048 | Aug 3, 2010 |
| BLACKMORE PETER | CEO & President | Option Exercise | 87,500 | — | — | 1,166,066 | Jul 31, 2010 |
| LU HONG LIANG | — | Sale | 18,002 | $2.01 | $36,184 | 3,048,585 | Jun 3, 2010 |
| Li Henry | SVP and General Counsel | Award / Grant | 200,000 | — | — | 200,000 | May 31, 2010 |
| Cheng Edmond | Senior VP and CFO | Award / Grant | 200,000 | — | — | 211,200 | May 31, 2010 |
| LU HONG LIANG | — | Sale | 30,000 | $2.08 | $62,400 | 3,077,916 | May 28, 2010 |
| LU HONG LIANG | — | Sale | 36,487 | $2.08 | $75,893 | 3,107,916 | May 26, 2010 |
| Lu Ying (Jack) | Senior VP & COO | Award / Grant | 300,000 | — | — | 300,000 | Mar 31, 2010 |
| LU HONG LIANG | — | Sale | 158,497 | $2.00 | $316,994 | 3,167,916 | Mar 8, 2010 |
| BLACKMORE PETER | CEO & President | Sale | 5,232 | $2.04 | $10,673 | 1,078,566 | Mar 1, 2010 |
| Patel Viraj J | Int CFO, VP, Controller & CAO | Sale | 1,669 | $2.04 | $3,405 | 63,846 | Mar 1, 2010 |
| Patel Viraj J | Int CFO, VP, Controller & CAO | Option Exercise | 7,500 | — | — | 70,533 | Feb 26, 2010 |
| BLACKMORE PETER | CEO & President | Option Exercise | 28,091 | — | — | 1,098,194 | Feb 26, 2010 |
| Luk Kenneth | Senior VP and CFO | Award / Grant | 300,000 | — | — | 300,000 | Dec 31, 2009 |
| Patel Viraj J | Int CFO, VP, Controller & CAO | Sale | 4,646 | $1.77 | $8,223 | 17,854 | Nov 9, 2009 |
| TOY THOMAS J | — | Award / Grant | 79,187 | — | — | 165,905 | Sep 30, 2009 |
| RYAN BRUCE J | — | Award / Grant | 33,732 | — | — | 46,424 | Sep 30, 2009 |
| LENZMEIER ALLEN U | — | Award / Grant | 29,904 | — | — | 136,278 | Sep 30, 2009 |
| CLARKE JEFF | — | Award / Grant | 29,665 | — | — | 87,249 | Sep 30, 2009 |
| LU HONG LIANG | — | Sale | 50,000 | $2.01 | $100,500 | 3,326,413 | Sep 15, 2009 |
| TOY THOMAS J | — | Sale | 20,435 | $1.96 | $40,053 | 86,718 | Sep 14, 2009 |
| Patel Viraj J | Int CFO, VP, Controller & CAO | Sale | 49,968 | $1.94 | $96,938 | 22,500 | Sep 8, 2009 |
| Marsch Susan | SVP and General Counsel | Sale | 4,159 | $2.02 | $8,401 | 22,211 | Sep 8, 2009 |
| LU HONG LIANG | — | Sale | 2,498 | $2.13 | $5,321 | 3,426,413 | Sep 4, 2009 |
| LU HONG LIANG | — | Sale | 41,741 | $1.66 | $69,290 | 3,452,273 | Sep 3, 2009 |
| LU HONG LIANG | — | Option Exercise | 176,121 | — | — | 3,319,014 | Sep 2, 2009 |
| LU HONG LIANG | — | Gift | 10,500 | — | — | 80,775 | Aug 12, 2009 |
| BLACKMORE PETER | CEO & President | Option Exercise | 87,500 | — | — | 1,119,511 | Jul 31, 2009 |
| BLACKMORE PETER | CEO & President | Sale | 17,155 | $0.77 | $13,209 | 1,055,292 | Mar 5, 2009 |
| LU HONG LIANG | — | Sale | 47,531 | $0.77 | $36,599 | 3,123,764 | Mar 5, 2009 |
| Patel Viraj J | Int CFO, VP, Controller & CAO | Sale | 23,752 | $0.70 | $16,626 | 147,566 | Mar 4, 2009 |
| Green Mark | SVP, Human Resources | Sale | 33,845 | $0.70 | $23,692 | 123,648 | Mar 4, 2009 |
| Marsch Susan | SVP and General Counsel | Sale | 9,141 | $0.70 | $6,399 | 26,370 | Mar 4, 2009 |