UTSI / UTStarcom Holdings Corp. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

UTStarcom Reports Unaudited Financial Results for First Half of 2025

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Half of 2025 Hangzhou, August 29, 2025— UTStarcom (“UT,” “UTStarcom” or the “Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results and a business update for the six months ended June 30, 2025 (“the first half”). Business Highlights: • Multi-million dollar Chi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2025 Commission File Number: 001-352

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2025 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Ind

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 25, 2025, with respect to the consolidated financial statements included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2024. We consent to the incorporation by reference of said report in the Registration Statements of UTStarcom Holdings Corp.

Interest income was $2.8 million and $2.2 million for 2024 and 2023, respectively. The increase was mainly due to higher interest income in China.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC

CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Dec

CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

CERTIFICATION

Exhibit 12.1 CERTIFICATION I, Hua Li, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t

CERTIFICATION

Exhibit 12.2 CERTIFICATION I, Dan Xie, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2025 Commission File Number: 001-3521

6-K 1 2024q4-2hearningsrele.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2025 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address

UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2024

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2024 Hangzhou, March 24, 2025— UTStarcom (the Company) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months and full year ended December 31, 2024, and provided a business update. Business Update • China Telecom Research Institute

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2024 Commission File Number: 001-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2024 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office)

UTStarcom Reports Unaudited Financial Results for First Half of 2024

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Half of 2024 Hangzhou, September 5, 2024— UTStarcom (“UT,” “UTStarcom” or the “Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results and a business update for the six months ended June 30, 2024 (“the first half”). Business Highlights: • Expansion order for th

CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

UTSTARCOM HOLDINGS CORP. INSIDER TRADING POLICY (amended on April 25, 2014)

Exhibit 11.1 UTSTARCOM HOLDINGS CORP. INSIDER TRADING POLICY (amended on April 25, 2014) This Insider Trading Policy (the “Policy”) of UTStarcom Holdings Corp. (“UTStarcom” or the “Company”) outlines procedures that all UTStarcom personnel must follow. This Policy and the procedures set forth herein arise from our responsibilities as a public company. It is important that you review this Policy ca

POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION (Adopted as of December 1, 2023)

Exhibit 97.1 POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION (Adopted as of December 1, 2023) A. PURPOSE In accordance with the applicable rules of The Nasdaq Stock Market (the “Nasdaq Rules”), Section 10D and Rule 10D-1 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (“Rule 10D-1”), UTStarcom Holdings Corp. (the “Company”) has adopted this Policy for the Recove

CERTIFICATION

Exhibit 12.1 CERTIFICATION I, Hua Li, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC

CERTIFICATION

Exhibit 12.2 CERTIFICATION I, Dan Xie, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 29, 2024, with respect to the consolidated financial statements included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2023. We consent to the incorporation by reference of said report in the Registration Statements of UTStarcom Holdings Corp.

CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Dec

UTStarcom Announces Changes to Its Board of Directors

Exhibit 99.1 UTStarcom Announces Changes to Its Board of Directors HANGZHOU, China, Mar 26, 2024 (GLOBE NEWSWIRE) - UTStarcom (“UT” or the “Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced changes to the Board of Directors and appointed Dr. Yong Wang as the Company’s new independent director, effective Mar 21, 2024. Dr. Jintong Lin resigned from the Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2024 Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2024 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indi

UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2023

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2023 Hangzhou, March 22, 2024— UTStarcom (the Company) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months and full year ended December 31, 2023, and provided a business update. Business Update • 5G transport network portfolio p

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2024 Commission File Number: 001-3521

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2024 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indi

Supplemental Submission pursuant to Item 16I(a) of Form 20-F

Exhibit 99.1 Supplemental Submission pursuant to Item 16I(a) of Form 20-F UTStarcom Holdings Corp. (the “Company”) is submitting via EDGAR the following information as required under Item 16I(a) of the Form 20-F in relation to the Holding Foreign Companies Accountable Act (the “HFCA Act”). On May 26, 2022, the Company was conclusively identified by the U.S. Securities and Exchange Commission (the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2023 Comm

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2023 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office)

UTStarcom Holdings Corp.

UTStarcom Holdings Corp. 4th Floor, South Wing 368 Liuhe Road, Binjiang District Hangzhou 310053 P.R. China Phone: +86 571 8192 8888 Fax: +86 571 8192 0123 www.utstar.com September 27, 2023 To: Division of Corporation Finance Disclosure Review Program United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn: Jimmy McNamara and Christopher Dunham Re: UTStarcom

UTStarcom Holdings Corp.

UTStarcom Holdings Corp. 4th Floor, South Wing 368 Liuhe Road, Binjiang District Hangzhou 310053 P.R. China Phone: +86 571 8192 8888 Fax: +86 571 8192 0123 www.utstar.com September 8, 2023 To: Division of Corporation Finance Disclosure Review Program United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn: Jimmy McNamara and Christopher Dunham Re: UTStarcom

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2023 Commission File Number: 001-352

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2023 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Ind

UTStarcom Reports Unaudited Financial Results for First Half of 2023

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Half of 2023 Hangzhou, August 30, 2023— UTStarcom (“UT,” “UTStarcom” or the “Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results and a business update for the six months ended June 30, 2023 (“the first half”). Business Highlights: • Progress with China Unic

Name of foreign operating entities

UTStarcom Holdings Corp. 4th Floor, South Wing 368 Liuhe Road, Binjiang District Hangzhou 310053 P.R. China Phone: +86 571 8192 8888 Fax: +86 571 8192 0123 www.utstar.com August 18, 2023 To: Division of Corporation Finance Disclosure Review Program United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attn: Jimmy McNamara and Christopher Dunham Re: UTStarcom Ho

CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) UTSTARCOM HOLDINGS CORP. (Exact Name of Registrant as Specified in its Charter)

CALCULATION OF FILING FEE TABLE Form S-8 (Form Type) UTSTARCOM HOLDINGS CORP. (Exact Name of Registrant as Specified in its Charter) Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Ordinary Shares, par value $0.015 per share Other (2) 1,725,581 $3.69 (

As filed with the Securities and Exchange Commission on June 20, 2023

As filed with the Securities and Exchange Commission on June 20, 2023 Registration No.

UTSTARCOM holdings corp. AMENDED AND RESTATED 2017 EQUITY INCENTIVE PLAN Amended and Restated on January 1, 2022

EX-99.1 4 utsi-ex991.htm EX-99.1 Exhibit 99.1 UTSTARCOM holdings corp. AMENDED AND RESTATED 2017 EQUITY INCENTIVE PLAN Amended and Restated on January 1, 2022 1. Purposes of the Plan. The purposes of this Amended and Restated 2017 Equity Incentive Plan (as amended and restated, the “Plan”) are: • to replace the 2017 Equity Incentive Plan, which was adopted on January 1, 2017 in its entirety, • to

CERTIFICATION

Exhibit 12.1 CERTIFICATION I, Hua Li, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t

CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Dec

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 27, 2023, with respect to the consolidated financial statements included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2022. We consent to the incorporation by reference of said report in the Registration Statements of UTStarcom Holdings Corp.

CERTIFICATION

Exhibit 12.2 CERTIFICATION I, Dan Xie, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

UTSTARCOM HOLDINGS CORP. INSIDER TRADING POLICY (amended on April 25, 2014)

Exhibit 19.1 UTSTARCOM HOLDINGS CORP. INSIDER TRADING POLICY (amended on April 25, 2014) This Insider Trading Policy (the “Policy”) of UTStarcom Holdings Corp. (“UTStarcom” or the “Company”) outlines procedures that all UTStarcom personnel must follow. This Policy and the procedures set forth herein arise from our responsibilities as a public company. It is important that you review this Policy ca

CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2022

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2022 Hangzhou, March 24, 2023— UTStarcom (“UT,” “UTStarcom” or the “Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months and full year ended December 31, 2022, and provided a business update. Business Update • Progress

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2023 Commission File Number: 001-3521

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2023 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indi

UTStarcom Announces Management Changes

Exhibit 99.1 UTStarcom Announces Management Changes Hangzhou, September 2, 2022? UTStarcom (?UT,? ?UTStarcom? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced the appointments of Mr. Dan (Danjun) Xie as Chief Financial Officer, Ms. Lingrong Lu as Chief Technology Officer and Ms. Ellen (Yinghua) Chen as Chief Human Resources Officer, effective S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2022 Commission File Number: 001-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office)

UTStarcom Reports Unaudited Financial Results for First Half of 2022

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Half of 2022 Hangzhou, September 2, 2022? UTStarcom (?UT,? ?UTStarcom? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months ended June 30, 2022, and provided a business update. Business Update ? Progress in Collaboration with China

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2022 Comm

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office)

UTStarcom Regains NASDAQ Listing Compliance

UTStarcom Regains NASDAQ Listing Compliance Hangzhou, July 15, 2022? UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced the Company received a formal notice from NASDAQ that it has regained compliance with Listing Rule 5450(a)(1) as a result of the closing bid price of the Company's common stock has been at $1.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2022 Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indic

UTStarcom Announces Results of Extraordinary Meeting of Shareholders and Effectiveness of One-for-Four Reverse Share Split

Exhibit 99.1 UTStarcom Announces Results of Extraordinary Meeting of Shareholders and Effectiveness of One-for-Four Reverse Share Split Hangzhou, June 28, 2022? UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced the official results of its extraordinary meeting of shareholders, held on June 28, 2022 at 10:00 a.m. China Standard Ti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2022 Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indic

PROXY UTSTARCOM HOLDINGS CORP. EXTRAORDINARY GENERAL MEETING TO BE HELD AT THE COMPANY’S OFFICES LOCATED AT 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD, BINJIANG DISTRICT, HANGZHOU, P.R. CHINA, 310053, ON TUESDAY, JUNE 28, 2022 AT 10:00 A.M., CHINA TIME

Exhibit 99.2 PROXY UTSTARCOM HOLDINGS CORP. EXTRAORDINARY GENERAL MEETING TO BE HELD AT THE COMPANY?S OFFICES LOCATED AT 4TH FLOOR, SOUTH WING, 368 LIUHE ROAD, BINJIANG DISTRICT, HANGZHOU, P.R. CHINA, 310053, ON TUESDAY, JUNE 28, 2022 AT 10:00 A.M., CHINA TIME The undersigned, being the registered holder(s) of ordinary shares of US$0.00375 par value each of UTStarcom Holdings Corp., hereby appoint

May 27, 2022

Exhibit 99.1 May 27, 2022 Dear Shareholder: You are cordially invited to attend an extraordinary general meeting of shareholders of UTStarcom Holdings Corp., a Cayman Islands exempted company (the ?Company?), to be held at the Company?s offices located at 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China, 310053, on Tuesday, June 28, 2022 at 10:00 a.m., China time. Enc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-35216

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indica

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indica

UTStarcom Announces Date for Extraordinary General Meeting to Approve Reverse Share Split

Exhibit 99.1 UTStarcom Announces Date for Extraordinary General Meeting to Approve Reverse Share Split Hangzhou, May 18, 2022? UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced that it will hold an extraordinary general meeting of its shareholders (the "EGM") on Monday, June 27, 2022, at 2:00 p.m. China Standard Time, to seek app

Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.2 CERTIFICATION I, Dan Xie, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

Consent of Grant Thornton

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 26, 2022, with respect to the consolidated financial statements included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2021. We consent to the incorporation by reference of said report in the Registration Statements of UTStarcom Holdings Corp.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC

Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.1 CERTIFICATION I, Hua Li, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t

Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Dec

Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2021

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2021 Hangzhou, March 24, 2022? UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months and full year ended December 31, 2021, and provided a business update. Business Update ? Progress in the develo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2022 Commission File Number: 001-3521

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indi

UTStarcom Receives Nasdaq Notice Regarding Minimum Bid Price Requirements

Exhibit 99.1 UTStarcom Receives Nasdaq Notice Regarding Minimum Bid Price Requirements Hangzhou, China, January 28, 2022 ? UTStarcom (?UTStarcom? or the ?Company?) (NASDAQ:UTSI), a global telecommunications infrastructure provider, today announced that it received a delinquency letter from the Nasdaq Listing Qualifications department of the Nasdaq Stock Market LLC (NASDAQ) dated January 24, 2022.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2022 Commission File Number: 001-35

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2022 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) In

UTStarcom Announces Change to its Board of Directors

Exhibit 99.1 UTStarcom Announces Change to its Board of Directors Hangzhou, November 19, 2021? UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced that Ms. Wendong Zhang resigned from the Company?s Board of Directors (the ?Board?) effective November 16, 2021 to pursue other business interests. Ms. Zhang also served on various board

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2021 Commi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2021 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) I

UTStarcom Announces Change to its Board of Directors

Exhibit 99.1 UTStarcom Announces Change to its Board of Directors Hangzhou, August 13, 2021? UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced that Dr. Zhaochen Huang has rendered a resignation from his position as a member of the Board of Directors (the ?Board?) of UTStarcom, effective December 31, 2021 and he will focus on busi

UTStarcom Reports Unaudited Financial Results for First Half of 2021

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Half of 2021 Hangzhou, August 13, 2021? UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months ended June 30, 2021, and provided a business update. Business Update ? Development of a Disaggregated Hardware Platform fo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commiss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Ind

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commission File Number: 001-352

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Ind

UTStarcom Names Hua Li as New Chief Executive Officer and Announces Changes to Its Board of Directors

Exhibit 99.1 UTStarcom Names Hua Li as New Chief Executive Officer and Announces Changes to Its Board of Directors HANGZHOU, China, May 24, 2021 (GLOBE NEWSWIRE) - UTStarcom (?UT? or the ?Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today named Mr. Hua Li as the Company?s new Chief Executive Officer, effective June 16, 2021 and announced changes to the Board of Di

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K _______________________ REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2021 Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2021 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indica

- 20-F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020. OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC

Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the ?Company?) on Form 20-F for the period ending Decembe

Consent of Grant Thornton

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 21, 2021, with respect to the consolidated financial statements included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2020. We consent to the incorporation by reference of said report in the Registration Statements of UTStarcom Holdings Corp.

Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.2 CERTIFICATION I, Dan Xie, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the ?Company?) on Form 20-F for the period ending Dec

Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.1 CERTIFICATION I, Zhaochen Huang, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with resp

Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2021 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) Indi

UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2020

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for Second Half and Full Year 2020 Hangzhou, March 25, 2021— UTStarcom (“UT” or the “Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months and full year ended December 31, 2020, and provided a business update. Business Update • 5G Transport Solution

Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2020 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) I

UTStarcom Announces Executive Management and Board Changes

Exhibit 99.1 UTStarcom Announces Executive Management and Board Changes Hangzhou, China, December 31st, 2020 – UTStarcom (“UTStarcom” or “the Company”) (NASDAQ:UTSI), a global telecommunications infrastructure provider, today announced changes to the Board of Directors and executive management team intended to prepare the Company for continued growth and new opportunities in 2021 and beyond. Dr. Z

UTStarcom Reports Unaudited Financial Results for First Half of 2020

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Half of 2020 Hangzhou, October 30, 2020— UTStarcom (“UT” or the “Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the six months ended June 30, 2020. Business Update • Status of 5G Transport Network Opportunity with a Major Mobile Carrier in China UT

Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2020 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office) In

UTStarcom Launches SkyFlux Converged Packet Transport Platform and Postpones the Release of First Half 2020 Financial Results

Exhibit 99.1 UTStarcom Launches SkyFlux Converged Packet Transport Platform and Postpones the Release of First Half 2020 Financial Results Hangzhou, China, August 31, 2020 – UTStarcom (“UTStarcom” or the “Company”) (NASDAQ:UTSI), a global telecommunications infrastructure provider, today introduced a Converged Packet Transport Platform, SkyFlux. The SkyFlux platform combines Segment Routing over M

Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2020 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou, P.R. China (Address of principal executive office)

Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Dec

Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

Exhibit 12.2 CERTIFICATION I, Eric Lam, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

Exhibit 12.1 CERTIFICATION I, Zhaochen Huang, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with resp

- 2019 20-F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC

Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

Consent of Grant Thornton

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 29, 2020, with respect to the consolidated financial statements included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2019. We consent to the incorporation by reference of said report in the Registration Statements of UTStarcom Holdings Corp.

Current Report of Foreign Issuer - 6-K ERIC LAM RESIGE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2020 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing, 368 Liuhe Road, Binjiang District, Hangzhou P.R. China (Address of principal executive office) Indic

UTStarcom Reports Unaudited Financial Results for Fourth Quarter and Full Year 2019

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for Fourth Quarter and Full Year 2019 Hangzhou, March 27, 2020— UTStarcom (“UT” or “the Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the fourth quarter and full year ended December 31, 2019, and provided a business update. Business Update • Q4 Revenue Met

UTSI / UTStarcom Holdings Corp. 6-K - Current Report of Foreign Issuer - 6-K Q4 2019 EARNINGS RESULT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2020 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. 4th Floor, South Wing 368 Liuhe Road, Binjiang District Hangzhou, P.R. China (Address of principal executive office) Indica

UTSI / UTStarcom Holdings Corp. 6-K - Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2020 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 35, Two Pacific Place, 88 Queensway, Admiralty Hong Kong (Address of principal executive office) Indicate by check ma

UTSI / UTStarcom Holdings Corp. S-8 POS - - S-8 POS 2017PLAN

As filed with the Securities and Exchange Commission on March 10, 2020 Registration No.

UTSI / UTStarcom Holdings Corp. S-8 POS - - S-8 POS 2006PLAN

As filed with the Securities and Exchange Commission on March 10 , 2020 Registration No.

UTSI / UTStarcom Holdings Corp. CORRESP - -

UTStarcom Holdings Corp. Level 6, 28 Hennessy Road, Admiralty, Hong Kong To: Division of Corporation Finance Office of Telecommunications Attn: Mr. Robert Shapiro Re: UTStarcom Holdings Corp. Form 20-F for the Year Ended December 31, 2018 Filed April 17, 2019 File No. 001-35216 November 29, 2019 Mr. Shapiro, This is in reference to your inquiry per your letter, dated September 19, 2019: “We noted

UTSI / UTStarcom Holdings Corp. CORRESP - -

UTStarcom Holdings Corp. Level 6, 28 Hennessy Road, Admiralty, Hong Kong November 15, 2019 VIA EDGAR Mr. Robert Shapiro, Senior Staff Accountant Mr. Robert S. Littlepage, Accounting Branch Chief U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: UTStarcom Holdings Corp. (“the Company”) Form 20-F for the year ended December 31, 2018 Filed April 17, 2019 File No. 0

UTSI / UTStarcom Holdings Corp. 6-K - Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2019 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether th

JOINT FILING AGREEMENT

EX-99.10 Exhibit 99.10 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the ordinary shares, par value US$0.00375 per share, of UTStarcom Holdings Corp., and that this Agreemen

UTSI / UTStarcom Holdings Corp. / SHAH CAPITAL MANAGEMENT - SC 13D AMENDMENT NO. 22 Activist Investment

SC 13D Amendment No. 22 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 22)* UTSTARCOM HOLDINGS CORP. (Name of Issuer) Ordinary Shares, par value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Shah Capital Opportunity Fund LP 8601 Six Forks Road, Suite 630 Raleigh, NC 27615 T

UTSI / UTStarcom Holdings Corp. 6-K - Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2019 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether t

UTStarcom Announces Changes to Board of Directors

Exhibit 99.1 UTStarcom Announces Changes to Board of Directors HONG KONG, September 5, 2019 (GLOBE NEWSWIRE) - UTStarcom (“UT” or “the Company”) (NASDAQ:UTSI), a global telecommunications infrastructure provider, today announced changes to its board of directors (the “Board”) resulting from the sale of 9.2 million shares by Shah Capital Opportunity Fund and Mr. Hong Liang Lu (“Selling Shareholders

UTSI / UTStarcom Holdings Corp. / Tonghao (cayman) Ltd - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, par value $0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Qian Huifang Director Tonghao (Cayman) Limited c/o Tongding Interconnection Information Co., Ltd. Room 613,

UTSI / UTStarcom Holdings Corp. / Tonghao (cayman) Ltd - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, par value $0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Qian Huifang Director Tonghao (Cayman) Limited c/o Tongding Interconnection Information Co., Ltd. Room 613,

AMENDMENT TO PURCHASE AND SALE AGREEMENT

Exhibit 99.14 AMENDMENT TO PURCHASE AND SALE AGREEMENT THIS AMENDMENT TO PURCHASE AND SALE AGREEMENT (this “Agreement”) is made on July 31 2019, among the persons listed on Schedule A (collectively, the “Sellers”) and Tonghao (Cayman) Limited (the “Acquirer”). The Sellers and the Acquirer shall be referred to individually herein as a “Party”, and collectively as the “Parties”. WHEREAS, the Sellers

UTSI / UTStarcom Holdings Corp. 6-K - Current Report of Foreign Issuer - 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2019 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the

JOINT FILING AGREEMENT

EX-99.8 2 d787409dex998.htm EX-99.8 Exhibit 99.8 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the ordinary shares, par value US$0.00375 per share, of UTStarcom Holdings Cor

UTSI / UTStarcom Holdings Corp. / SHAH CAPITAL MANAGEMENT - SCHEDULE 13D AMENDMENT NO. 21 Activist Investment

Schedule 13D Amendment No. 21 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 21)* UTSTARCOM HOLDINGS CORP. (Name of Issuer) Ordinary Shares, par value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Shah Capital Opportunity Fund LP 8601 Six Forks Road, Suite 630 Raleigh, NC 2

AMENDMENT TO PURCHASE AND SALE AGREEMENT

EX-99.9 Exhibit 99.9 AMENDMENT TO PURCHASE AND SALE AGREEMENT THIS AMENDMENT TO PURCHASE AND SALE AGREEMENT (this “Agreement”) is made on July 31 2019, among the persons listed on Schedule A (collectively, the “Sellers”) and Tonghao (Cayman) Limited (the “Acquirer”). The Sellers and the Acquirer shall be referred to individually herein as a “Party”, and collectively as the “Parties”. WHEREAS, the

UTSI / UTStarcom Holdings Corp. 6-K Current Report of Foreign Issuer 6-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2019 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the reg

UTStarcom Reports Unaudited Financial Results for First Quarter 2019

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Quarter 2019 Hong Kong, May 10, 2019— UTStarcom (“UT” or “the Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the first quarter ended March 31, 2019. UTStarcom’s Chief Executive Officer Mr. Tim Ti commented, “We are off to a solid start to 2019. Rev

Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Dec

Form of Stock Option Agreement for Directors and Officers for use under the 2017 Equity Incentive Plan

Exhibit 4.6 FORM OF STOCK OPTION AWARD AGREEMENT DIRECTORS AND OFFICERS Certificate of Stock Option Grant Level 6,28 Hennessy Road Admiralty Hongkong Main: +86 (852) 39519757 Fax: +86 (852) 39519898 Employee ID: You have been granted an option to purchase UTStarcom Holdings Corp. Common Stock as follows: Type of Option: Grant No.: Stock Option Plan: Date of Grant: Vesting Commencement Date: Total

Form of Notice of Grant of Performance Shares for use under the 2017 Equity Incentive Plan.

Exhibit 4.9 UTSTARCOM HOLDINGS CORP. 2017 EQUITY INCENTIVE PLAN NOTICE OF GRANT OF PERFORMANCE SHARES Unless otherwise defined herein, the terms defined in the 2017 Equity Incentive Plan (the “Plan”) will have the same defined meanings in this Notice of Grant of Performance Shares (the “Notice of Grant”). Participant: Address: You have been granted the right to receive Performance Shares, subject

UTSI / UTStarcom Holdings Corp. 20-F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018. OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC

Form of Notice of Grant of Performance Units for use under the 2017 Equity Incentive Plan.

Exhibit 4.10 UTSTARCOM HOLDINGS CORP. 2017 EQUITY INCENTIVE PLAN NOTICE OF GRANT OF PERFORMANCE UNITS Unless otherwise defined herein, the terms defined in the 2017Equity Incentive Plan (the “Plan”) will have the same defined meanings in this Notice of Grant of Performance Units (the “Notice of Grant”). Participant: Address: You have been granted the right to receive Performance Units, subject to

Form of Stock Option Award Agreement for use under 2017 Equity Incentive Plan

Exhibit 4.5 FORM OF STOCK OPTION AWARD AGREEMENT Certificate of Stock Option Grant Level 6,28 Hennessy Road Admiralty Hongkong Main: +86 (852) 39519757 Fax: +86 (852) 39519898 Employee ID: You have been granted an option to purchase UTStarcom Holdings Corp. Common Stock as follows: Type of Option: Grant No.: Stock Option Plan: Date of Grant: Vesting Commencement Date: Total Number of Option Shares

Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.1 CERTIFICATION I, Tim Ti, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t

Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

Form of Notice of Grant of Restricted Stock Units for use under the 2017 Equity Incentive Plan.

Exhibit 4.8 UTSTARCOM HOLDINGS CORP. 2017 EQUITY INCENTIVE PLAN NOTICE OF GRANT OF RESTRICTED STOCK UNITS Unless otherwise defined herein, the terms defined in the 2017 Equity Incentive Plan (the “Plan”) will have the same defined meanings in this Notice of Grant of Restricted Stock Units (the “Notice of Grant”). Participant: Address: You have been granted the right to receive Restricted Stock Uni

Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.2 CERTIFICATION I, Eric Lam, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

Consent of Grant Thornton

EX-15.1 13 utsi-ex151515.htm EX-15.1 Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 17, 2019, with respect to the consolidated financial statements included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2018. We consent to the incorporation by reference of said report in the Registration St

Form of Notice of Grant of Restricted Stock for use under the 2017 Equity Incentive Plan.

Exhibit 4.7 UTSTARCOM HOLDINGS CORP. 2017 EQUITY INCENTIVE PLAN NOTICE OF GRANT OF RESTRICTED STOCK Unless otherwise defined herein, the terms defined in the 2017 Equity Incentive Plan (the “Plan”) will have the same defined meanings in this Notice of Grant of Restricted Stock (the “Notice of Grant”) and Terms and Conditions of Restricted Stock Grant, attached hereto as Exhibit A (together, the “A

UTStarcom Reports Unaudited Financial Results for Fourth Quarter and Full Year 2018

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for Fourth Quarter and Full Year 2018 Hong Kong, March 15, 2019— UTStarcom (“UT” or “the Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the fourth quarter and full year ended December 31, 2018. UTStarcom’s Chief Executive Officer Mr. Tim Ti commented, “We ar

UTSI / UTStarcom Holdings Corp. PRESS RELEASE REGARDING UTSTARCOM REPORTS UNAUDITED FINANCIAL RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2018 (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2019 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the r

UTSI / UTStarcom Holdings Corp. 6-K UTSTARCOM ANNOUNCES FURTHER INVESTMENT BY KEY SHAREHOLDER (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2019 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether th

UTSI / UTStarcom Holdings Corp. / SHAH CAPITAL MANAGEMENT - SCHEDULE 13D AMENDMENT NO. 20 Activist Investment

SCHEDULE 13D AMENDMENT NO. 20 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 20)* UTSTARCOM HOLDINGS CORP. (Name of Issuer) Ordinary Shares, par value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Shah Capital Opportunity Fund LP 8601 Six Forks Road, Suite 630 Raleigh, NC 2

JOINT FILING AGREEMENT

EXHIBIT 99.13 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. 2, dated as of February 4, 2019 (the “Amendment 2”), to the Schedule 13D, dated December 8, 2017, as amended by Amendment No. 1 filed on January 16, 2019 (as amended, the “Original Schedule 13D”), with respect to the ordinary shares, par value $0.00375 per share, of UTStarcom Holdings Corp. is, and any amendme

PURCHASE AND SALE AGREEMENT

Confidential PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement (this “Agreement”), dated as of January 31, 2019 (the “Signing Date”, is among persons identified on Schedules A and B as the “Sellers” (including the “Shah Seller” and the “Lu Sellers”; individually, a “Shah Seller” or a “Lu Seller”, as the case may be and, collectively, the “Sellers”) and Tonghao (Cayman) Limited (the “Acquirer”).

UTSI / UTStarcom Holdings Corp. / Tonghao (cayman) Ltd - AMENDMENT NO. 2 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, par value $0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Qian Huifang Director Tonghao (Cayman) Limited c/o Tongding Interconnection Information Co., Ltd. Room 613,

PURCHASE AND SALE AGREEMENT

EX-99.7 Exhibit 99.7 Confidential PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement (this “Agreement”), dated as of January 31, 2019 (the “Signing Date”, is among persons identified on Schedules A and B as the “Sellers” (including the “Shah Seller” and the “Lu Sellers”; individually, a “Shah Seller” or a “Lu Seller”, as the case may be and, collectively, the “Sellers”) and Tonghao (Caym

JOINT FILING AGREEMENT

EX-99.6 Exhibit 99.6 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the ordinary shares, par value US$0.00375 per share, of UTStarcom Holdings Corp., and that this Agreement

UTSI / UTStarcom Holdings Corp. / Tonghao (cayman) Ltd - AMENDMENT NO. 1 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, par value $0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Qian Huifang Director Tonghao (Cayman) Limited c/o Tongding Group Co., Ltd. Room 613, Floor 6, Building 1, N

JOINT FILING AGREEMENT

EXHIBIT 99.11 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. 1, dated as of January 16, 2019 (the “Amendment 1”), to the Schedule 13D, dated December 8, 2017 (the “Original Schedule 13D”), with respect to the ordinary shares, par value $0.00375 per share, of UTStarcom Holdings Corp. is, and any amendments thereto executed by each of us shall be, filed on behalf of each

通鼎互联信息股份有限公司 Tongding Interconnection Information Co.,Ltd. Jiangsu Tongding Group Co.,Ltd. Shanghai Yujing Investment Center (Limited Partnership) Hangzhou Xingqiong Investment Partnership (Limited Partnership) Tonghao Information Technology (Shangha

EX-99.10 2 ss121218ex9910.htm SHARE PURCHASE AGREEMENT EXHIBIT 99.10 通鼎互联信息股份有限公司 Tongding Interconnection Information Co.,Ltd. 与 通鼎集团有限公司 Jiangsu Tongding Group Co.,Ltd. 上海毓璟投资中心（有限合伙） Shanghai Yujing Investment Center (Limited Partnership) 杭州星琼投资合伙企业（有限合伙） Hangzhou Xingqiong Investment Partnership (Limited Partnership) 关于 通灏信息科技（上海）有限公司 Tonghao Information Technology (Shanghai) Co., Ltd. 之 股权转让协

2017 Equity Incentive Plan, as adopted on January 1, 2017

Exhibit 4.1 UTSTARCOM HOLDINGS CORP. 2017 EQUITY INCENTIVE PLAN (As adopted on January 1, 2017) 1.Purposes of the Plan. The purposes of this Plan are: • to attract and retain the best available personnel for positions of substantial responsibility, • to provide incentives to individuals who perform services to the Company, and • to promote the success of the Company’s business. The Plan permits th

UTSI / UTStarcom Holdings Corp. S-8 2017 PLAN

As filed with the Securities and Exchange Commission on November 15, 2018 Registration No.

2006 Equity Incentive Plan, as adopted on July 21, 2006

Exhibit 4.1 UTSTARCOM HOLDINGS CORP. 2006 EQUITY INCENTIVE PLAN (As Assumed and Amended on January 21, 2016) 1.Purposes of the Plan. The purposes of this Plan are: • to attract and retain the best available personnel for positions of substantial responsibility, • to provide incentives to individuals who perform services to the Company, and • to promote the success of the Company’s business. The Pl

UTSI / UTStarcom Holdings Corp. S-8

As filed with the Securities and Exchange Commission on November 15, 2018 Registration No.

UTSI / UTStarcom Holdings Corp. 6-K (Current Report of Foreign Issuer)

6-K 1 utsi-6k20181109.htm 6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2018 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Ind

UTSI / UTStarcom Holdings Corp. FORM 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2018 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the

UTSI / UTStarcom Holdings Corp. 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2018 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the reg

UTStarcom Reports Unaudited Financial Results for First Quarter 2018

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for First Quarter 2018 Hong Kong, May 11, 2018— UTStarcom (“UTStarcom” or “the Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the first quarter ended March 31, 2018. UTStarcom’s Chief Executive Officer Tim Ti commented, “First quarter results reinforce our c

Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.2 CERTIFICATION

Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Dec

Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.1 CERTIFICATION I, Tim Ti, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t

Consent of Grant Thornton

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 16, 2018, with respect to the consolidated financial statements and financial statement schedules included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2017. We consent to the incorporation by reference of said report in the Registration State

Consent of Grant Thornton, independent registered public accounting firm of iTV Media Inc.

Exhibit 15.4 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated November 14, 2017, with respect to the consolidated financial statements of iTV MEDIA INC. for the year ended December 31, 2015 included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2017. We consent to the incorporation by reference of said report i

UTSI / UTStarcom Holdings Corp. 20-F

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F o REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017. OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECU

Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

Consolidated financial statements of iTV Media Inc. for the fiscal years ended December 31, 2017, 2016 and 2015.

Exhibit 15.3 iTV MEDIA INC. CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEARS ENDED DECEMBER 31, 2017, 2016 AND 2015 iTV MEDIA INC. INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Page Consolidated Financial Statements Independent Auditors’ Reports 5 – 6 Consolidated Balance Sheets as of December 31, 2017 and 2016 7 – 8 Consolidated Statements of Operations and Comprehensive Income (Loss) for the Years E

UTSI / UTStarcom Holdings Corp. 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2018 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the r

UTStarcom Reports Unaudited Financial Results for the Fourth Quarter and Full Year 2017

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for the Fourth Quarter and Full Year 2017 Hong Kong, March 9, 2018— UTStarcom (“UTStarcom” or “the Company”) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the fourth quarter and full year ended December 31, 2017. UTStarcom’s Chief Executive Officer Tim Ti stated, “Ou

ASSIGNMENT AND ASSUMPTION AGREEMENT

Confidential ASSIGNMENT AND ASSUMPTION AGREEMENT ASSIGNMENT AND ASSUMPTION AGREEMENT (this “Agreement”), dated as of November 14th, 2017, between Tonghao Information Technology (Shanghai) Co.

UTSI / UTStarcom Holdings Corp. / Tonghao (cayman) Ltd - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, par value $0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Jie Deng Director Tonghao (Cayman) Limited c/o Ruicun Capital Co., Ltd. Room 613, Floor 6, Building 1, No.185,

JOINT FILING AGREEMENT

EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13D, dated December 8, 2017 (the “Schedule 13D”), with respect to the ordinary shares, par value $0.00375 per share, of UTStarcom Holdings Corp. is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k

Supplementary Agreement to Shareholders’ Agreement

Supplementary Agreement to Shareholders’ Agreement Party A: Tongding Group Co., Ltd. (通鼎集团有限公司) Legal Representative: SHEN Xiaoping Domicile: 8 Xiaoping Avenue, Badu Economic Development Zone, Zhenze Town, Wujiang District, Suzhou, Jiangsu Province Party B: Shanghai Yujing Investment Center (Limited Partnership) (上海毓璟投资中心)（有限合伙） Legal Representative: LIU Jing Domicile: Suite 24058, Area 1, Buildin

ASSIGNMENT AND ASSUMPTION AGREEMENT

Confidential ASSIGNMENT AND ASSUMPTION AGREEMENT ASSIGNMENT AND ASSUMPTION AGREEMENT (this “Agreement”), dated as of November 14th, 2017, between Tonghao Information Technology (Shanghai) Co.

PURCHASE AND SALE AGREEMENT

PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement (this “Agreement”), dated as of October 30, 2017, is by and among DASAN NETWORKS, Inc.

PURCHASE AND SALE AGREEMENT

Confidential EXECUTION VERSION PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement (this “Agreement”), dated as of October 30, 2017, is by and among MIN WOO NAM (the “Seller”) and Tonghao Information Technology (Shanghai) Co.

Shareholders’ Agreement

Shareholders’ Agreement Party A: Tongding Group Co., Ltd. (通鼎集团有限公司) Legal Representative: SHEN Xiaoping Domicile: 8 Xiaoping Avenue, Badu Economic Development Zone, Zhenze Town, Wujiang District, Suzhou, Jiangsu Province Party B: Shanghai Yujing Investment Center (Limited Partnership) (上海毓璟投资中心)（有限合伙） Legal Representative: LIU Jing Domicile: Suite 24058, Area 1, Building No. 2, 888 Huanhu West Se

PURCHASE AND SALE AGREEMENT

Confidential FINAL PURCHASE AND SALE AGREEMENT This Purchase and Sale Agreement (this “Agreement”), dated as of November 1, 2017 (the “Effective Date”), is by and among Invex Casa de Bolsa S.

ASSIGNMENT AND ASSUMPTION AGREEMENT

Confidential ASSIGNMENT AND ASSUMPTION AGREEMENT ASSIGNMENT AND ASSUMPTION AGREEMENT (this “Agreement”), dated as of November 14th, 2017, between Tonghao Information Technology (Shanghai) Co.

UTSI / UTStarcom Holdings Corp. / Shanghai Phicomm Communication Co., Ltd. - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No.11) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Yunfeng Phicomm (Shanghai) Co., Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Republic of Ch

UTStarcom Announces Change to its Board of Directors

Exhibit 99.1 UTStarcom Announces Change to its Board of Directors HONG KONG, November 23, 2017 ? UTStarcom Holdings Corp. (NASDAQ: UTSI) (?UTStarcom? or the ?Company?) today announced that Mr. Xiaoping Li resigned from his position as a member of the Board of Directors (the ?Board?) of UTStarcom. His resignation also vacates positions on the Audit Committee, the Compensation Committee, and Chairma

UTSI / UTStarcom Holdings Corp. 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether th

UTSI / UTStarcom Holdings Corp. 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether th

UTStarcom Reports Unaudited Financial Results for the Third Quarter of 2017

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for the Third Quarter of 2017 Hong Kong, November 20, 2017? UTStarcom (?UTStarcom? or ?the Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the third quarter ended September 30, 2017. UTStarcom?s Chief Executive Officer Tim Ti stated, ?We are encouraged by our

Certification of Principal Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.2 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the ?Company?) on Form 20-F for the period ending Dec

Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.1 CERTIFICATION I, Tim Ti, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to t

Letter dated November 13, 2017 from GHP Horwath, P.C.

Exhibit 4.14 November 13, 2017 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: UTStarcom Holdings Crop. We have read the comments made by UTStarcom Holdings Corp. in Item 16F of this Form 20-F under the caption ?Disengagement of GHP Horwath, P.C.? of Item 16F. We agree with such statements made regarding our firm. We have no basis to agree or disagree with other st

Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the ?Company?) on Form 20-F for the period ending Decembe

Consolidated financial statements of iTV Media Inc. for the fiscal years ended December 31, 2016, 2015 and 2014.

EX-15.3 11 a17-32451ex15d3.htm EX-15.3 Exhibit 15.3 iTV MEDIA INC. CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEARS ENDED DECEMBER 31, 2016, 2015 AND 2014 iTV MEDIA INC. INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Page Consolidated Financial Statements Independent Auditors’ Reports 1 – 4 Consolidated Balance Sheets as of December 31, 2016 and 2015 5 Consolidated Statements of Operations and Comprehe

Consent of Grant Thornton

Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated November 14, 2017, with respect to the consolidated financial statements and financial statement schedules included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2016. We consent to the incorporation by reference of said report in the Registration St

Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Exhibit 12.2 CERTIFICATION I, Eric Lam, certify that: 1. I have reviewed this annual report on Form 20-F of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

Consent of PricewaterhouseCoopers Zhong Tian LLP

Exhibit 15.2 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (Nos. 333-108817, 333-84710, 333-44548, 333-60150, 333-120564, 333-127850, 333-136551 and 333-161639) of UTStarcom Holdings Corp. of our report dated May 19, 2015 relating to the financial statements and financial statement schedules,

Letter dated November 14, 2017 from Crowe Horwath LLP

Exhibit 4.15 November 14, 2017 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, N. E. Washington, D.C. 20549 Ladies and Gentlemen: We have read the comments made regarding Crowe Horwath LLP in Item 16F of Form 20-F of UTStarcom Holdings Corp. dated November 14, 2017, as contained in the second and third paragraphs under the caption ?Dismissal of Crowe Horwath LLP? of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F o REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F o REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016. OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECU

Consent of PricewaterhouseCoopers Zhong Tian LLP, independent registered public accounting firm of iTV Media Inc.

Exhibit 15.5 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (Nos. 333-108817, 333-84710, 333-44548, 333-60150, 333-120564, 333-127850, 333-136551 and 333-161639) of UTStarcom Holdings Corp. of our report dated June 30, 2015 relating to the consolidated financial statements of iTV Media Inc., wh

Consent of Grant Thornton, independent registered public accounting firm of iTV Media Inc.

Exhibit 15.4 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated November 14, 2017, with respect to the consolidated financial statements of iTV MEDIA INC. for the year ended December 31, 2015 included in the Annual Report of UTStarcom Holdings Corp. on Form 20-F for the year ended December 31, 2016. We consent to the incorporation by reference of said report i

UTStarcom Holdings 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2016 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the

UTStarcom Announces Withdrawal of Preliminary Non-Binding Proposal to Acquire the Company

Exhibit 99.1 UTStarcom Announces Withdrawal of Preliminary Non-Binding Proposal to Acquire the Company HONG KONG, October 25, 2017 ? UTStarcom Holdings Corp. (NASDAQ: UTSI) (?UTStarcom?, ?we? or the ?Company?) today announced that the special committee of the Company?s board of directors (the ?Board?) has received a notice from Shah Capital Opportunity Fund LP, Himanshu H. Shah, Hong Liang Lu and

TERMINATION AGREEMENT

EX-99.5 Exhibit 99.5 TERMINATION AGREEMENT THIS TERMINATION AGREEMENT (this “Agreement”) is made as of October 23, 2017, among Shah Capital Opportunity Fund LP (“Shah Capital”), Himanshu H. Shah (“Mr. Shah”), the Lu Charitable Remainder Trust, the Lu Family Trust (together with the Lu Charitable Remainder Trust, the “Lu Trusts”), The Lu Family Limited Partnership (the “Lu Partnership”), Hong Liang

[Signature Page follows]

EX-99.4 Exhibit 99.4 October 23, 2017 Special Committee of the Board of Directors UTStarcom Holdings Corp. Level 6, 28 Hennessy Road Admiralty, Hong Kong Dear Sirs: We refer to our preliminary non-binding proposal (the “Proposal”) to the board of directors of UTStarcom Holdings Corp. (the “Company”), dated March 31, 2017, to acquire the Company pursuant to the Transaction (as defined in the Propos

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Schedule 13/D Amendment No. 19 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 19)* UTSTARCOM HOLDINGS CORP. (Name of Issuer) Ordinary Shares, par value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Shah Capital Opportunity Fund LP 8601 Six Forks Road, Suite 630 Raleigh, NC

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, 28 Hennessy Road, Admiralty Hong Kong (Address of principal executive office) Indicate by check mark whether the

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11 October 2017

Exhibit 99.16 Harney Westwood & Riegels 3501 The Center 99 Queen’s Road Central Hong Kong Tel: +852 5806 7800 Fax: +852 5806 7810 11 October 2017 By Email & By Post [email protected] +852 5806 7869 Kirkland & Ellis LLP 26th Floor, Gloucester Tower The Landmark 15 Queen’s Road Central Hong Kong Dear Sirs UTStarcom Holdings Corp (the Company) We act as Cayman Islands counsel for Shanghai Phic

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 10) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Yunfeng Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Re

UTStarcom Announces Change of Auditor

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the re

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 9) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Yunfeng Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Rep

UTSI / UTStarcom Holdings Corp. / Shanghai Phicomm Communication Co., Ltd. - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 8) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Yunfeng Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Rep

UTSI / UTStarcom Holdings Corp. / Shanghai Phicomm Communication Co., Ltd. - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 7) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Yunfeng Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Rep

JOINT FILING AGREEMENT

Exhibit 99.15 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Ordinary Shares of UTStarcom Holdings Corp. and further agree that this Joint Filing Agreement shall be included as an exhibi

UTStarcom Holdings 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the registra

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UTStarcom Holdings NT 20-F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number: FORM 12b-25 001-35216 CUSIP Number: NOTIFICATION OF LATE FILING 918076100 (Check one): o Form 10-K x Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2016 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o T

UTStarcom Holdings 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the regist

UTStarcom Holdings Corp. Special Committee Retains Financial Advisor and Legal Counsel

EX-99.1 2 a17-116671ex99d1.htm EX-99.1 Exhibit 99.1 UTStarcom Holdings Corp. Special Committee Retains Financial Advisor and Legal Counsel Hong Kong, April 19, 2017 — UTStarcom Holdings Corp. (NASDAQ: UTSI) (“UTStarcom”, “we” or the “Company”) today announced that the special committee (the “Special Committee”) of the Company’s board of directors (the “Board”) has retained Duff & Phelps (Duff & Ph

UTStarcom Announces Receipt of a Preliminary Non-Binding Proposal to Acquire the Company

Exhibit 99.1 UTStarcom Announces Receipt of a Preliminary Non-Binding Proposal to Acquire the Company Hong Kong, March 31, 2017 ? UTStarcom Holdings Corp. (NASDAQ: UTSI) (the ?Company? or ?UTStarcom?) today announced that its board of directors (the ?Board?) has received a preliminary non-binding proposal letter, dated March 31, 2017, from Shah Capital Opportunity Fund LP, Himanshu H. Shah (togeth

UTStarcom Holdings 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the regist

UTSI / UTStarcom Holdings Corp. / SHAH CAPITAL MANAGEMENT - SCHEDULE 13/D AMENDMENT NO. 18 Activist Investment

Schedule 13/D Amendment No. 18 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 18)* UTSTARCOM HOLDINGS CORP. (Name of Issuer) Ordinary Shares, par value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Shah Capital Management 8601 Six Forks Road, Suite 630 Raleigh, NC 27615 T

CONSORTIUM AGREEMENT SHAH CAPITAL OPPORTUNITY FUND LP HIMANSHU H. SHAH LU CHARITABLE REMAINDER TRUST LU FAMILY TRUST THE LU FAMILY LIMITED PARTNERSHIP HONG LIANG LU Tenling Ti Dated as of March 31, 2017 TABLE OF CONTENTS Page ARTICLE I PROPOSAL; HOLD

EX-99.2 Exhibit 99.2 CONSORTIUM AGREEMENT among SHAH CAPITAL OPPORTUNITY FUND LP HIMANSHU H. SHAH LU CHARITABLE REMAINDER TRUST LU FAMILY TRUST THE LU FAMILY LIMITED PARTNERSHIP HONG LIANG LU and Tenling Ti Dated as of March 31, 2017 TABLE OF CONTENTS Page ARTICLE I PROPOSAL; HOLDCO OWNERSHIP SECTION 1.01. Participation in Transaction 2 SECTION 1.02. Proposal 2 SECTION 1.03. Additional Parties 2 S

[The remainder of this page is left blank intentionally]

EX-99.3 Exhibit 99.3 March 31, 2017 The Board of Directors UTStarcom Holdings Corp. Level 6, 28 Hennessy Road Admiralty, Hong Kong Dear Members of the Board of Directors, We, Shah Capital Opportunity Fund LP, Himanshu H. Shah (together with Shah Capital Opportunity Fund LP, the “Shah Parties”), Hong Liang Lu and his affiliates (the “Lu Parties”) and Tenling Ti (“Mr. Ti”, collectively with the Shah

Joint Filing Agreement

EX-99.1 Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D referred to below) on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to with r

UTStarcom Reports Unaudited Financial Results for the Fourth Quarter and Full Year 2016

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UTStarcom Holdings 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the regist

UTStarcom Announces Board Member Resignation

Exhibit 99.1 UTStarcom Announces Board Member Resignation HONG KONG, February 24, 2017 (GLOBE NEWSWIRE) - UTStarcom (NASDAQ:UTSI), a global telecommunications infrastructure provider, today announced that Tetsuzo Matsumoto has resigned from the Board of Directors to devote more time to his other business commitments. His resignation is effective February 22, 2017. Himanshu Shah, the Chairman of UT

UTStarcom Holdings FORM 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the reg

UTStarcom Holdings 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the reg

UTStarcom Announces Appointment of Crowe Horwath LLP as its New Independent Auditor

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UTStarcom Holdings FORM 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2017 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the regi

UTStarcom Announces Disengagement from its Auditor

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UTStarcom Holdings FORM 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2016 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the reg

UTStarcom Reports Unaudited Financial Results for the Third Quarter of 2016

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UTStarcom Announces CFO Transition

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UTStarcom Holdings FORM 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2016 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the reg

UTStarcom Announces Changes to Board of Directors

Exhibit 99.1 UTStarcom Announces Changes to Board of Directors Hong Kong, November 8, 2016 ? UTStarcom (NASDAQ: UTSI), a global telecommunications infrastructure provider, today announced that Mr. Guoping Gu resigned from the Company's Board of Directors, effective immediately. The Board appointed Mr. Tim Ti, the Company?s Chief Executive Officer, to replace Mr. Gu, also effective immediately. Him

UTStarcom Holdings FORM 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2016 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the reg

UTSI / UTStarcom Holdings Corp. / Shanghai Phicomm Communication Co., Ltd. Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 6) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Guoping Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Rep

THE SMART SOHO INTERNATIONAL LIMITED P.O. Box 309 Ugland House Grand Cayman, KY1-1104 Cayman Islands September 2, 2016

Exhibit 99.14 THE SMART SOHO INTERNATIONAL LIMITED P.O. Box 309 Ugland House Grand Cayman, KY1-1104 Cayman Islands September 2, 2016 To the Sellers to the Purchase and Sale Agreement dated November 4, 2015 Ladies and Gentlemen: We refer to the Purchase and Sale Agreement among us dated as of November 4, 2015, as amended by the letter agreement dated December 4, 2015 (the “First Amendment”), by the

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 5) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Guoping Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Rep

UTStarcom Reports Unaudited Financial Results for the Second Quarter of 2016

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for the Second Quarter of 2016 Hong Kong, August 12, 2016 ? UTStarcom (?UTStarcom? or ?the Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the second quarter ended June 30, 2016. Mr. Tim Ti, UTStarcom?s Chief Executive Officer, stated, ?We are glad to report

UTStarcom Holdings FORM 6-K (Current Report of Foreign Issuer)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the month of Aug 2016 Commission File Number: 001-35216 UTSTARCOM HOLDINGS CORP. Level 6, Hennessy Road, Admiralty, Hong Kong (Address of principal executive office) Indicate by check mark whether the registra

THE SMART SOHO INTERNATIONAL LIMITED P.O. Box 309 Ugland House Grand Cayman, KY1-1104 Cayman Islands June 30, 2016

Exhibit 99.13 THE SMART SOHO INTERNATIONAL LIMITED P.O. Box 309 Ugland House Grand Cayman, KY1-1104 Cayman Islands June 30, 2016 To the Sellers to the Purchase and Sale Agreement dated November 4, 2015 Ladies and Gentlemen: We refer to the Purchase and Sale Agreement among us dated as of November 4, 2015, as amended by the letter agreement dated December 4, 2015 (the “First Amendment”), by the let

UTSI / UTStarcom Holdings Corp. / Shanghai Phicomm Communication Co., Ltd. - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 4) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Guoping Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Rep

CERTIFICATION OF CHIEF FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.2 CERTIFICATION OF CHIEF FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the ?Company?) on Form 20-F for the period ending Decembe

UTStarcom Holdings FORM 20-F/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 20-F (Amendment No. 1) ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015. OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECU

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

EX-15.5 8 v443360ex15-5.htm EXHIBIT 15.5 Exhibit 15.5 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (Nos. 333-108817, 333-84710, 333-44548, 333-60150, 333-120564, 333-127850, 333-136551 and 333-161639) of UTStarcom Holdings Corp. of our report dated June 30, 2015 relating to the consolidated f

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

EX-15.4 7 v443360ex15-4.htm EXHIBIT 15.4 Exhibit 15.4 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (Nos. 333-108817, 333-84710, 333-44548, 333-60150, 333-120564, 333-127850, 333-136551 and 333-161639) of UTStarcom Holdings Corp. of our report dated June 30, 2016 relating to the consolidated f

CERTIFICATION

Exhibit 12.2 CERTIFICATION I, Min Xu, certify that: 1. I have reviewed this annual report on Form 20-F/A of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the ?Company?) on Form 20-F for the period ending Decembe

iTV MEDIA INC. INDEX TO CONSOLIDATED FINANCIAL STATEMENTS

Exhibit 15.3 iTVMEDIA INC. CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEARS ENDED DECEMBER 31, 2015, 2014 AND 2013 iTV MEDIA INC. INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Page Consolidated Financial Statements Independent Auditors? Reports 1 ? 4 Consolidated Balance Sheets as of December 31, 2015 and 2014 5 ? 6 Consolidated Statements of Operations and Comprehensive Loss for the Years Ended Decem

CERTIFICATION

Exhibit 12.1 CERTIFICATION I, Tim Ti, certify that: 1. I have reviewed this annual report on Form 20-F/A of UTStarcom Holdings Corp.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to

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UTStarcom Reports Unaudited Financial Results for the First Quarter of 2016

Exhibit 99.1 UTStarcom Reports Unaudited Financial Results for the First Quarter of 2016 Hong Kong, May 13, 2016 ? UTStarcom (?UTStarcom? or ?the Company?) (NASDAQ: UTSI), a global telecommunications infrastructure provider, today reported its unaudited financial results for the first quarter ended March 31, 2016. Mr. Tim Ti, UTStarcom?s Chief Executive Officer, stated, ?We are pleased to report a

Equity Charge Agreement

Exhibit 99.9 Equity Charge Agreement Party A: Chongqing Liangjiang New Area Strategic Emerging Industries Equity Investment Fund Partnership (Limited Liability Partnership) Domicile: No. 19, Yinglong Av., Longxing Town, Yubei District, Chongqing Director: Zhang Jun Liaison: Long Zhenzhu Tel.: 023-63088083 Address: 21F, Building T2, No. 2, Jiangbeizui Financial City, Jiangbei District, Chongqing Pa

THE SMART SOHO INTERNATIONAL LIMITED P.O. BOX 309 Uganda House Grand Cayman KY1-1104 Cayman Islands

Exhibit 99.12 THE SMART SOHO INTERNATIONAL LIMITED P.O. BOX 309 Uganda House Grand Cayman KY1-1104 Cayman Islands PHICOMM TECHNOLOGY(HONG KONG) CO., LIMITED Suite 1205-6, ICBC Tower Citibank Plaza 3 Garden Road Central, Hong Kong April 25, 2016 To the Sellers referred to as the “Shah Sellers” in the Purchase and Sale Agreement dated as of November 4, 2015, as amended Ladies and Gentlemen: We refer

Guarantee Contract

Exhibit 99.10 Guarantee Contract Party A: Chongqing Liangjiang New Area Strategic Emerging Industries Equity Investment Fund Partnership (Limited Liability Partnership) Domicile: No. 19, Yinglong Av., Longxing Town, Yubei District, Chongqing Director: Zhang Jun Liaison: Long Zhenzhu Tel.: 023-63088083 Address: 21F, Building T2, No. 2, Jiangbeizui Financial City, Jiangbei District, Chongqing Party

UTSI / UTStarcom Holdings Corp. / Shanghai Phicomm Communication Co., Ltd. - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 3) Under the Securities Exchange Act of 1934 UTStarcom Holdings Corp. (Name of Issuer) Ordinary Shares, Par Value US$0.00375 per share (Title of Class of Securities) 918076100 (CUSIP Number) Gu Guoping Shanghai Phicomm Communication Co. Ltd. 3666 Sixian Road Songjiang District Shanghai, People’s Rep

Equity Capital Increasing Agreement Supplemental Agreement

Exhibit 99.8 Equity Capital Increasing Agreement Supplemental Agreement Party A: Chongqing Liangjiang New Area Strategic Emerging Industries Equity Investment Fund Partnership (Limited Liability Partnership) Domicile: No. 19, Yinglong Av., Longxing Town, Yubei District, Chongqing Director: Zhang Jun Liaison: Long Zhenzhu Tel.: 023-63088083 Address: 21F, Building T2, No. 2, Jiangbeizui Financial Ci

The Smart Soho International Limited (as the Chargor) Chongqing Liangjiang New Area Strategic Emerging Industries Equity Investment Fund Partnership (Limited Liability Partnership) (as the Chargee)

Exhibit 99.11 The Smart Soho International Limited (as the Chargor) and Chongqing Liangjiang New Area Strategic Emerging Industries Equity Investment Fund Partnership (Limited Liability Partnership) (as the Chargee) EQUITABLE MORTGAGE over registered shares in a Cayman Islands exempted company WARNING THE TAKING OR SENDING BY ANY PERSON OF AN ORIGINAL OF THIS DOCUMENT INTO THE CAYMAN ISLANDS MAY G

CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002

Exhibit 13.1 CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES OXLEY ACT 2002 This certification is not to be deemed filed pursuant to the Securities Exchange Act of 1934, as amended, and does not constitute a part of the Annual Report of UTStarcom Holdings Corp. (the “Company”) on Form 20-F for the period ending Decembe

Letter dated April 22, 2016 from PricewaterhouseCoopers Zhong Tian LLP

EX-4.24 2 v435205ex4-24.htm EXHIBIT 4.24 Exhibit 4.24 April 22, 2016 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by UTStarcom Holdings Corp. (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 16F of Form 20-F, as part of the Annual Report on Form 20-F of UTSt