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UTSTARCOM HOLDINGS CORP. — Director's Dealing 2003
Oct 31, 2003
34885_dirs_2003-10-31_ab9f00fe-7b33-46f9-91d6-16873e6cce9c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: UTSTARCOM INC (UTSI)
CIK: 0001030471
Period of Report: 2003-10-29
Reporting Person: SOPHIE MICHAEL J (Sr. VP of Finance & CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2003-10-29 | Common Stock | M | 7770 | $4.50 | Acquired | 11772 | Direct |
| 2003-10-29 | Common Stock | M | 2647 | $4.50 | Acquired | 14419 | Direct |
| 2003-10-29 | Common Stock | M | 1650 | $9.38 | Acquired | 16069 | Direct |
| 2003-10-29 | Common Stock | M | 1667 | $15.00 | Acquired | 17736 | Direct |
| 2003-10-29 | Common Stock | M | 1597 | $12.50 | Acquired | 19333 | Direct |
| 2003-10-29 | Common Stock | M | 4587 | $20.25 | Acquired | 23920 | Direct |
| 2003-10-29 | Common Stock | M | 1921 | $15.72 | Acquired | 25841 | Direct |
| 2003-10-29 | Common Stock | S | 21839 | $32.25 | Disposed | 4002 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2003-10-29 | Employee Stock Option (right to buy) | $4.50 | M | 7770 | Disposed | 2009-09-01 | Common Stock (7770) | Direct |
| 2003-10-29 | Employee Stock Option (right to buy) | $4.50 | M | 2647 | Disposed | 2009-09-01 | Common Stock (2647) | Direct |
| 2003-10-29 | Employee Stock Option (right to buy) | $9.38 | M | 1650 | Disposed | 2009-12-27 | Common Stock (1650) | Direct |
| 2003-10-29 | Employee Stock Option (right to buy) | $15.00 | M | 1667 | Disposed | 2010-10-18 | Common Stock (1667) | Direct |
| 2003-10-29 | Employee Stock Option (right to buy) | $12.50 | M | 1597 | Disposed | 2010-12-21 | Common Stock (1597) | Direct |
| 2003-10-29 | Employee Stock Option (right to buy) | $20.25 | M | 4587 | Disposed | 2012-02-28 | Common Stock (4587) | Direct |
| 2003-10-29 | Employee Stock Option (right to buy) | $15.72 | M | 1921 | Disposed | 2012-07-25 | Common Stock (1921) | Direct |
Footnotes
F1: This trade was executed pursuant to a Rule 10b5-1 trading plan that was adopted on November 18, 2002.
F2: Vesting Schedule: 1/4 after one year; 1/36 per month thereafter for the remaining shares.
F3: Vesting Schedule: 1/4 after one year from 10/18/00, 1/36 per month thereafter for the remaining shares.
F4: Vesting Schedule: 1/4 after one year from 12/21/00, 1/36 per month thereafter for the remaining shares.
F5: Vesting Schedule: 1/4 after one year from 2/28/02, 1/36 per month thereafter for the remaining shares.
F6: Vesting Schedule: 1/4 after one year from 7/25/02, 1/36 per month thereafter for the remaining shares.