-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AIrTq0Pv6uAoFz3MVgI/c1MbQeqECTmR2TYvKapDWo1Q8Zo3IJMn3OoVdo6kxb0P udyTBbpJY2SX8l2SigwICw== 0000891836-07-000109.txt : 20070328 0000891836-07-000109.hdr.sgml : 20070328 20070327175654 ACCESSION NUMBER: 0000891836-07-000109 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070328 DATE AS OF CHANGE: 20070327 GROUP MEMBERS: SOFTBANK AMERICA INC GROUP MEMBERS: SOFTBANK HOLDINGS INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UTSTARCOM INC CENTRAL INDEX KEY: 0001030471 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 521782500 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60651 FILM NUMBER: 07722265 BUSINESS ADDRESS: STREET 1: 1275 HARBOR BAY PARKWAY STREET 2: STE 100 CITY: ALAMEDA STATE: CA ZIP: 94502 BUSINESS PHONE: 5108648800 MAIL ADDRESS: STREET 1: 1275 HARBOR BAY PARKWAY STREET 2: STE 100 CITY: ALAMEDA STATE: CA ZIP: 94502 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SOFTBANK CORP CENTRAL INDEX KEY: 0001065521 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 24-1 NIHONBASHI-HAKOZAKI-CHO CITY: CHUO-KU TOKYO 103 BUSINESS PHONE: 01181356428376 MAIL ADDRESS: STREET 1: 24-1, NIHONBASHI-HAKOZAKI-CHO CITY: CHUO-KU TOKYO 103 STATE: MO SC 13G/A 1 sc0038.txt SCHEDULE 13G, AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------- SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* UTSTARCOM, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.00125 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 918076100 - -------------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2006 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [x] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13G - -------------------- ------------ CUSIP NO. 918076100 PAGE 2 OF 8 - -------------------- ------------ - -------------------------------------------------------------------------------- 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only). SOFTBANK AMERICA INC. - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [_] (b) [x] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization DELAWARE - -------------------------------------------------------------------------------- 5 Sole Voting Power -0- ------------------------------------------------------- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY 14,651,630 EACH ------------------------------------------------------- REPORTING 7 Sole Dispositive Power PERSON WITH -0- ------------------------------------------------------- 8 Shared Dispositive Power 14,651,630 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned By Each Reporting Person 14,651,630 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 12.1% (1) - -------------------------------------------------------------------------------- 12 Type of Reporting Person CO - -------------------------------------------------------------------------------- (1) Based on 120,839,532 shares of common stock outstanding as reported by UTStarcom, Inc. on its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission (the "SEC") on August 9, 2006. SCHEDULE 13G - -------------------- ------------ CUSIP NO. 918076100 PAGE 3 OF 8 - -------------------- ------------ - -------------------------------------------------------------------------------- 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only). SOFTBANK HOLDINGS INC. - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [_] (b) [x] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization DELAWARE - -------------------------------------------------------------------------------- 5 Sole Voting Power -0- ------------------------------------------------------- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY 14,651,630 (2) EACH ------------------------------------------------------- REPORTING 7 Sole Dispositive Power PERSON WITH -0- ------------------------------------------------------- 8 Shared Dispositive Power 14,651,630 (2) - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned By Each Reporting Person 14,651,630 (2) - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 12.1% (3) - -------------------------------------------------------------------------------- 12 Type of Reporting Person HC - -------------------------------------------------------------------------------- (2) This figure includes 14,651,630 shares of common stock beneficially owned as the controlling shareholder of SOFTBANK America Inc. which holds the shares directly. (3) Based on 120,839,532 shares of common stock outstanding as reported by UTStarcom, Inc. on its Quarterly Report on Form 10-Q filed with the SEC on August 9, 2006. SCHEDULE 13G - -------------------- ------------ CUSIP NO. 918076100 PAGE 4 OF 8 - -------------------- ------------ - -------------------------------------------------------------------------------- 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only). SOFTBANK CORP. - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) [_] (b) [x] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization JAPAN - -------------------------------------------------------------------------------- 5 Sole Voting Power -0- ------------------------------------------------------- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY 14,651,630 (4) EACH ------------------------------------------------------- REPORTING 7 Sole Dispositive Power PERSON WITH -0- ------------------------------------------------------- 8 Shared Dispositive Power 14,651,630 (4) - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned By Each Reporting Person 14,651,630 (4) - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares [_] - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 12.1% (5) - -------------------------------------------------------------------------------- 12 Type of Reporting Person HC - -------------------------------------------------------------------------------- (4) This figure includes 14,651,630 shares of common stock held directly by SOFTBANK America Inc., the controlling shareholder of which is SOFTBANK Holdings Inc., the controlling shareholder of which is SOFTBANK Corp. (5) Based on 120,839,532 shares of common stock outstanding as reported by UTStarcom, Inc. on its Quarterly Report on Form 10-Q filed with the SEC on August 9, 2006. - -------------------- ------------ CUSIP NO. 918076100 PAGE 5 OF 8 - -------------------- ------------ ITEM 1(A) NAME OF ISSUER: UTStarcom, Inc. ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1275 Harbor Bay Parkway, Alameda, CA 94502 USA ITEM 2(A) NAME OF PERSON FILING: SOFTBANK America Inc., a Delaware corporation ("SOFTBANK America"), SOFTBANK Holdings Inc., a Delaware corporation ("SOFTBANK Holdings"), and SOFTBANK Corp., a Japanese corporation ("SOFTBANK" and, together with SOFTBANK America and SOFTBANK Holdings, the "Reporting Persons"). The Reporting Persons are making this single, joint filing pursuant to Rule 13d-1(k) because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the "Act"), although neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting Persons that a group exists. ITEMS 2(B), (C) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE; CITIZENSHIP OF REPORTING PERSONS The principal business address of SOFTBANK America is Nemours Building, Suite 1461 1007 Orange Street, Wilmington, DE 19801. SOFTBANK America is a Delaware corporation. The principal business address of SOFTBANK Holdings is Nemours Building, Suite 1461 1007 Orange Street, Wilmington, DE 19801. SOFTBANK Holdings is a Delaware corporation. The principal business address of SOFTBANK is Tokyo Shiodome Bldg., 1-9-1, Higashi-shimbashi, Minato-ku, Tokyo 105-7303. SOFTBANK is a Japanese corporation. ITEM 2(D) TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.00125 per share ITEM 2(E) CUSIP NUMBER: 918076100 ITEM 3. STATEMENT FILED PURSUANT TO SS.SS.240.13D-1(B) OR 240.13D-2(B) OR (C): Not applicable. ITEM 4. OWNERSHIP SOFTBANK America is a wholly-owned subsidiary of SOFTBANK Holdings; accordingly, securities owned by SOFTBANK America may be regarded as being beneficially owned by SOFTBANK Holdings. SOFTBANK Holdings is a wholly-owned subsidiary of SOFTBANK; accordingly, securities owned by SOFTBANK Holdings may be regarded as being beneficially owned by SOFTBANK. The percentage of outstanding shares of common stock of UTStarcom, Inc. (the "Company") reported herein as beneficially owned by SOFTBANK America, SOFTBANK Holdings and SOFTBANK is based upon 120,839,532 shares of common stock outstanding as reported by the Company on its Quarterly Report on Form 10-Q filed with the SEC on August 9, 2006. - -------------------- ------------ CUSIP NO. 918076100 PAGE 6 OF 8 - -------------------- ------------ As of the date of the filing of this statement, SOFTBANK America beneficially owns, and SOFTBANK Holdings and SOFTBANK may be deemed to beneficially own through SOFTBANK America, a total of 14,651,630 shares of common stock of the Company, or 12.1% of the outstanding common stock of the Company. (a) Amount Beneficially Owned: SOFTBANK 14,651,630 SOFTBANK America 14,651,630 SOFTBANK Holdings 14,651,630 (b) Percent of Class: SOFTBANK 12.1% SOFTBANK America 12.1% SOFTBANK Holdings 12.1% (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: SOFTBANK -0- SOFTBANK America -0- SOFTBANK Holdings -0- (ii) shared power to vote or direct the vote: SOFTBANK 14,651,630 SOFTBANK America 14,651,630 SOFTBANK Holdings 14,651,630 (iii) sole power to dispose or to direct the disposition of: SOFTBANK -0- SOFTBANK America -0- SOFTBANK Holdings -0- (iv) shared power to dispose or to direct the disposition of: SOFTBANK 14,651,630 SOFTBANK America 14,651,630 SOFTBANK Holdings 14,651,630 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following box: [_] - -------------------- ------------ CUSIP NO. 918076100 PAGE 7 OF 8 - -------------------- ------------ ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP The Reporting Persons may be deemed to be a "group" for purposes of Section 13(d)(3) of the Act, although neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting Persons that a group exists. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATIONS Not applicable. - -------------------- ------------ CUSIP NO. 918076100 PAGE 8 OF 8 - -------------------- ------------ SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. In addition, by signing below, the undersigned agrees that this Amendment No. 2 on Schedule 13G may be filed jointly on behalf of each of the Reporting Persons. Dated: March 23, 2007 SOFTBANK CORP. SOFTBANK AMERICA INC. By: /s/ Steven J. Murray By: /s/ Francis B. Jacobs II ---------------------------- ------------------------------- Name: Steven J. Murray Name: Francis B. Jacobs II Title: Attorney-in-Fact Title: Vice President SOFTBANK HOLDINGS INC. By: /s/ Francis B. Jacobs II ------------------------------- Name: Francis B. Jacobs II Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----