Offerings // UTSTARCOM HOLDINGS CORP.

UTSI offering history

Every offering-related filing in UTSTARCOM HOLDINGS CORP.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 889 filings back to Dec 20, 1999.

Last executed offering

Oct 21, 2010

8-K — priced deal (shares or notes)

Last registration (announced)

Jan 8, 2004

S-3MEF — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Oct 21, 2010	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Sep 13, 2010	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Feb 4, 2010	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Sep 14, 2005	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 30, 2005	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 29, 2005	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 26, 2004	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 26, 2004	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Feb 10, 2004	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 29, 2004	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jan 8, 2004	S-3MEF →	REGISTERED	S-3MEF registration — capacity to sell shares, not a sale yet
Dec 12, 2003	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Nov 5, 2003	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 7, 2003	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Sep 16, 2003	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Sep 3, 2003	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 25, 2003	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 7, 2003	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jul 10, 2003	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Mar 1, 2002	424B1 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Feb 28, 2002	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Feb 19, 2002	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Feb 11, 2002	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jul 19, 2001	424B1 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Jul 17, 2001	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Jun 28, 2001	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Jun 21, 2001	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Jun 19, 2001	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Mar 3, 2000	424B1 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Feb 29, 2000	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 29, 2000	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 24, 2000	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 22, 2000	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 7, 2000	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jan 31, 2000	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jan 19, 2000	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 27, 1999	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 20, 1999	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet

UTSI offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full UTSI workspace →

UTSI offering FAQ

When did UTSI last execute an offering?

Per SEC filings, UTSTARCOM HOLDINGS CORP.'s most recent priced offering document is a 8-K filed 2010-10-21. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did UTSI last announce or register an offering?

The most recent registration is a S-3MEF filed 2004-01-08. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.