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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 2.17 | 06/24/2011 | J(1) | 288,479 | (2) | 09/30/2020 | Common Stock | 288,479 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 2.09 | 06/24/2011 | J(1) | 158,373 | (3) | 09/30/2016 | Common Stock | 158,373 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 3.37 | 06/24/2011 | J(1) | 146,884 | (4) | 09/30/2015 | Common Stock | 146,884 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 2.9 | 06/24/2011 | J(1) | 45,517 | (5) | 11/30/2014 | Common Stock | 45,517 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 7.67 | 06/24/2011 | J(1) | 19,905 | (6) | 04/27/2016 | Common Stock | 19,905 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 7.98 | 06/24/2011 | J(1) | 25,000 | (7) | 10/28/2015 | Common Stock | 25,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 6.84 | 06/24/2011 | J(1) | 20,000 | (8) | 05/11/2015 | Common Stock | 20,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 16.34 | 06/24/2011 | J(1) | 25,000 | (9) | 08/27/2014 | Common Stock | 25,000 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 45.21 | 06/24/2011 | J(1) | 12,500 | (10) | 08/22/2013 | Common Stock | 12,500 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 14.31 | 06/24/2011 | J(1) | 13,035 | (11) | 08/23/2012 | Common Stock | 13,035 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TOY THOMAS J PACRIM VENTURE PARTNERS, 535 MIDDLEFIELD ROAD, SUITE 280 MENLO PARK, CA 94025 |
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/s/ Linda Lee, as Attorney-in-Fact on behalf of Thomas J. Toy | 07/08/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | In connection with the reorganization of the corporate structure of the group of companies controlled by UTStarcom, Inc. to change its place of incorporation from Delaware to the Cayman Islands, each outstanding share of UTStarcom, Inc. common stock was converted into the right to receive the same number of ordinary shares in the capital of UTStarcom Holdings Corp., a Cayman Islands company. In addition, all outstanding equity awards of UTStarcom, Inc. were assumed by UTStarcom Holdings Corp. to provide for the issuance of UTStarcom Holdings Corp. ordinary shares rather than UTStarcom, Inc. common stock upon the exercise or conversion of such awards. |
(2) | 1/12th monthly with the first vesting date occurring on October 31, 2010. |
(3) | 1/12th monthly with the first vesting date occurring on October 31, 2009. Fully vested. |
(4) | 1/12th monthly with the first vesting date occurring on October 30, 2008. Fully vested. |
(5) | 1/12th monthly with the first vesting date occuring on December 30, 2007. Fully vested. |
(6) | 1/12 per month each month after April 27, 2006. Fully vested. |
(7) | 1/6 exercisable on October 28, 2005, additional 1/12 on the 23rd day of each month thereafter. Fully vested. |
(8) | 100% of the option shall be exercisable on May 11, 2006. |
(9) | 1/12 per month each month after August 27, 2004. Fully vested. |
(10) | 1/12 per month each month after August 22, 2003. Fully vested. |
(11) | 1/12 per month each month after August 23, 2002. Fully vested. |