144 1 f67685e144.txt FORM 144 1 OMB APPROVAL ------------------------- UNITED STATES OMB NUMBER: 3235-0101 SECURITIES AND EXCHANGE COMMISSION EXPIRES: SEPTEMBER 30, 1995 WASHINGTON, D.C. 20549 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE 2.0 ------------------------- FORM 144 SEC USE ONLY ------------------------- DOCUMENT SEQUENCE NO. NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ------------------------- CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. ----------------------------------------------------------------- -------------------- ------------------- ------------------------ 1(a) NAME OF ISSUER (PLEASE TYPE OR PRINT) (b) IRS IDENT. NO. (c) S.E.C. FILE NO. WORK LOCATION 521782500 000-29661 UTSTARCOM, INC. ---------------------------------------- ---------------- ------------------ ------------------ ----------------------------------- 1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (E) TELEPHONE NUMBER 1275 HARBOR BAY PARKWAY ALAMEDA CA 94502 ----------------------------------- SUITE 100 AREA CODE NUMBER 510 864-8800 ------------------------------- ------------------------- -------------------- --------------------- ----------- ------ ---------- 2(a) NAME OF PERSON FOR WHOSE (b) SOCIAL SECURITY (c) RELATIONSHIP TO (d) ADDRESS STREET CITY STATE ZIP CODE ACCOUNT THE SECURITIES NO. OR IRS IDENT. NO. ISSUER ARE TO BE SOLD INTEL PACIFIC, INC. 94-1672743 NONE 2200 MISSION COLLEGE SANTA CLARA CA 95052 BOULEVARD ------------------------------------------------------------------------------------------------------------------------------------ INSTRUCTION: THE PERSON FILING THIS NOTICE SHOULD CONTACT THE ISSUER TO OBTAIN THE I.R.S. IDENTIFICATION NUMBER AND THE S.E.C. FILE NUMBER. -------------- ------------------------------- ------------- ------------ -------------- ------------- ------------ ---------------- 3(a) (b) SEC USE ONLY (c) (d) (e) (f) (g) ------------ Number of Number of Name and Address of Each Broker-Dealer Shares Shares Title of the Broker Through Whom the File Number or Other Aggregate or Other Approximate Name of Each Class of Securities are to be Units Market Units Date of Sale Securities Securities Offered or Each Market Maker To Be Sold Value Outstanding (See instr. Exchange 3(f)) To Be Sold who is Acquiring the Securities (See instr. (See instr. (See instr. 3(f)) (MO.) (See instr. 3(c)) 3(d)) 3(e)) DAY YR.) 3(g)) -------------- ------------------------------- ------------- ------------ -------------- ------------- ------------ ---------------- Merrill Lynch & Co., Inc. 947,146 $16,930,234.75 94,714,665 12/1/00 NASDAQ World Financial Center, North Tower COMMON New York, NY 10281 Att: Dante Ferrari -------------- ------------------------------- ------------- ------------ -------------- ------------ ------------ ---------------- -------------- ------------------------------- ------------- ------------ -------------- ------------ ------------ ---------------- -------------- ------------------------------- ------------- ------------ -------------- ------------ ------------ ---------------- INSTRUCTIONS: 1. (a) Name of issuer 3. (a) Title of the class of securities to be sold (b) Issuer's I.R.S. Identification Number (b) Name and address of each broker through whom the securities are intended to be sold (c) Issuer's S.E.C. file number, if any (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Issuer's address, including zip code (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Issuer's telephone number, including area code (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer 2. (a) Name of person for whose account the securities (f) Approximate date on which the securities are to be sold are to be sold
2 (b) Such person's Social Security or I.R.S. (g) Name of each securities exchange, if any, on which the securities are identification number intended to be sold (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code TABLE I - SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor: ----------- --------- ------------------------------------ --------------------------------- ----------- --------- ----------------- Title of Date you Nature of Acquisition Transaction Name of Person from Whom Acquired Amount of Date of Nature of Payment the Class Acquired (if gift, also give date donor Securities Payment acquired) Acquired ----------- --------- ------------------------------------ --------------------------------- ----------- --------- ----------------- COMMON 11/17/99 PRIVATE PURCHASE UTSTARCOM, INC. 4,306,474** 11/17/99 CASH STOCK * 12/22/99 PRIVATE PURCHASE UTSTARCOM, INC. 615,210** 12/22/99 CASH ----------- --------- ------------------------------------ --------------------------------- ----------- --------- ----------------- INSTRUCTIONS: 1. If the securities were purchased and full payment 2. If within two years after the acquisition of the securities therefor was not made in cash at the time of purchase, the person for whose account they are to be sold had explain in the table or in a note thereto the nature any short positions, put or other option to dispose of of the consideration given. If the consideration securities referred to in paragraph (d)(3) of Rule 144, consisted of any note or other obligation, or if payment was furnish full information with respect thereto. made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. ------------------------------------------------------------------------------------------------------------------------------------ TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold --------------------------------------- ---------------------------- -------------- -------------------- --------------------------- Amount of Name and Address of Seller Title of Securities Sold Date of Sale Securities Sold Gross Proceeds --------------------------------------- ---------------------------- -------------- -------------------- --------------------------- --------------------------------------- ---------------------------- -------------- -------------------- --------------------------- REMARKS: * The shares converted from Series F Convertible Preferred Stock into Common Stock upon initial public offering of UTSTARCOM, INC. ** As adjusted for stock-splits. INSTRUCTIONS: ATTENTION: See the definition of "person" in paragraph (a) The person for whose account the securities to which this notice of Rule 144. Information is to be given not relates are to be sold hereby represents by signing this notice that only as to the person for whose account the securities he does not know any material adverse information in regard to the are to be sold but also as to all other persons included current and prospective operations of the Issuer of the securities in that definition. In addition, information shall to be sold which has not been publicly disclosed. be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. /s/ NOEL LAZO --------------------------------------------------- --------------------------------------------------- NOVEMBER 30,2000 Noel Lazo Assistant Treasurer, Intel Corporation The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. ------------------------------------------------------------------------------------------------------------------------------------ ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) ------------------------------------------------------------------------------------------------------------------------------------