UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
(AMENDMENT NO. 1)
|
(Mark One) |
|
|
|
ý |
|
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 |
|
|
|
|
|
For the quarterly period ended March 31, 2003 |
||
|
|
|
|
|
OR |
||
|
|
|
|
|
o |
|
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 |
|
|
|
|
|
For the transition period from to |
||
|
|
||
|
COMMISSION FILE NUMBER 000-29661 |
||
|
UTSTARCOM, INC. |
||
|
(Exact name of Registrant as specified in its charter) |
||
|
|
||
|
DELAWARE |
|
52-1782500 |
|
(State of Incorporation) |
|
(I.R.S. Employer Identification No.) |
|
|
|
|
|
1275 HARBOR BAY PARKWAY, |
|
94502 |
|
(Address of principal executive offices) |
|
(zip code) |
|
|
|
|
|
Registrant’s telephone number, including area code: (510) 864-8800 |
||
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o
Indicate by check mark whether the Registrant is an accelerated filer (as defined in Rule 12b-2 of the Exchange Act of 1934). Yes ý No o
As of May 2, 2003 there were 100,342,383 shares of the Registrant’s Common Stock outstanding, par value $0.00125.
EXPLANATORY NOTE
UTStarcom, Inc. is filing this Amendment No. 1 to its Quarterly Report on Form 10-Q for the quarter ended March 31, 2003, which was originally filed with the Securities and Exchange Commission on May 12, 2003 (the “Quarterly Report”), to amend and restate in its entirety Exhibit 10.90, to disclose certain information for which confidential treatment had been initially requested. This Amendment No. 1 continues to speak as of the date of the original filing of the Quarterly Report, and the Company has not updated the disclosures contained therein to reflect any events that occurred at a later date.
ITEM 6—EXHIBITS AND REPORTS ON FORM 8-K
(a) Exhibits:
|
NUMBER |
|
EXHIBIT DESCRIPTION |
|
|
|
|
|
4.4(1) |
|
Convertible Subordinated Notes Indenture dated as of March 12, 2003 between UTStarcom, Inc. and U.S. Bank National Association, including the form of the 7/8% Convertible Subordinated Notes due 2008. |
|
10.88(1) |
|
Registration Rights Agreement between UTStarcom, Inc. and the Initial Purchasers named therein dated as of March 12, 2003. |
|
10.89(1) |
|
Asset Purchase Agreement dated as of March 4, 2003 between UTStarcom, Inc. and 3Com Corporation. |
|
10.90* |
|
Equipment Purchase Agreement dated as of February 4, 2003 between UTStarcom, Inc. and Tata Teleservices Limited. |
|
31.1 |
|
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
|
31.2 |
|
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
|
99.1(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 of 2002 |
|
99.2(1) |
|
Certification of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
* Certain information in this Exhibit has been omitted and filed separately with the SEC. Confidential treatment has been requested with respect to the omitted portions.
(1) Previously filed on May 12, 2003.
(b) Reports on Form 8-K:
1. On March 7, 2003, UTStarcom filed with the SEC a Report on Form 8-K (dated March 6, 2003) in connection with its pending acquisition of the CommWorks division of 3Com Corporation and its repurchase of 8,000,000 shares of common stock from SOFTBANK America Inc.
2. On March 7, 2003, UTStarcom filed with the SEC a Report on Form 8-K (dated March 7, 2003) in connection with its convertible subordinated notes offering.
3. On April 23, 2003, UTStarcom furnished to the SEC a Report on Form 8-K (dated April 16, 2003) in connection with its announcement of financial results for the fiscal quarter ending March 31, 2003.
2
UTSTARCOM, INC.
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
|
Date: September 8, 2003 |
UTSTARCOM, INC. |
|
|
(Registrant) |
|
|
|
|
|
BY: |
|
|
|
|
|
|
|
|
/s/ Hong Liang Lu |
|
|
Hong Liang Lu |
|
|
President, Chief Executive Officer and Director |
|
|
|
|
|
|
|
|
/s/ Michael J. Sophie |
|
|
Michael J. Sophie |
|
|
Chief Financial Officer and Assistant Secretary |
3
UTSTARCOM, INC.
|
NUMBER |
|
EXHIBIT DESCRIPTION |
|
4.4(1) |
|
Convertible Subordinated Notes Indenture dated as of March 12, 2003 between UTStarcom, Inc. and U.S. Bank National Association, including the form of the 7/8% Convertible Subordinated Notes due 2008. |
|
10.88(1) |
|
Registration Rights Agreement between UTStarcom, Inc. and the Initial Purchasers named therein dated as of March 12, 2003. |
|
10.89(1) |
|
Asset Purchase Agreement dated as of March 4, 2003 between UTStarcom, Inc. and 3Com Corporation. |
|
10.90* |
|
Equipment Purchase Agreement dated as of February 4, 2003 between UTStarcom, Inc. and Tata Teleservices Limited. |
|
31.1 |
|
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
|
31.2 |
|
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
|
99.1(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 of 2002 |
|
99.2(1) |
|
Certification of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
|
|
|
|
* Certain information in this Exhibit has been omitted and filed separately with the SEC. Confidential treatment has been requested with respect to the omitted portions.
(1) Previously filed on May 12, 2003
4