UT斯达康2013年度报告

20-F 1 a2219694z20-f.htm 20-F Use these links to rapidly review the documentUTSTARCOM HOLDINGS CORP. UTSTARCOM HOLDINGS CORP. TABLE OF CONTENTSTable of Contents UNITED STATESSECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549 FORM 20-F REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934OR ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934For the fiscal year ended December 31, 2013.OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934For the transition period from toOR SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934Date of event requiring this shell company reportCommission file number: 001-35216UTStarcom Holdings Corp.(Exact name of Registrant as specified in its charter) N/A(Translation of Registrant's name into English)Cayman Islands(Jurisdiction of incorporation or organization)Unit 7, Level 23, One Island East, 18 Westlands Road, Hong Kong(Address of principal executive offices) Jane Zhen ZuoInvestor RelationsUnion 7, Level 23, One Island East,18 Westlands Road, Hong KongPhone: (852) 3750-7632jane.zuo@utstar.com(Name, Telephone, E-mail and/or Facsimile number and Address of Company Contact Person)Securities registered pursuant to Section 12(b) of the Act:NoneSecurities registered pursuant to Section 12(g) of the Act: Title of each class Name of each exchange on which registered Ordinary Shares, $0.00375 par value The NASDAQ Stock Market LLC Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act:NONE(Title of Class) Indicate the number of outstanding shares of each of the issuer's classes of capital or common stock as of the close of the period covered by the annual report: 39,777,854 ordinary shares, par value US$0.00375 per share. Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.  Yes  No If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or (15)(d) of the Securities Exchange Act of 1934.  Yes  No 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  No Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).  Yes  No Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of "accelerated filer and large accelerated filer" in Rule 12b-2 of the Exchange Act. (Check one): Large Accelerated Filer  Accelerated Filer  Non-accelerated Filer  Indicate by check mark which basis of accounting the registrant has used to prepare the financial statements included in this filing. U.S. GAAP  International Financial Reporting Standards as issuedby the International Accounting Standards Board  Other  If "Other" has been checked in response to the previous question, indicate by check mark which financial statement item the registrant has elected to follow. Item 17  Item 18  If this is an annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes  No  (APPLICABLE ONLY TO ISSUERS INVOLVED IN BANKRUPTCY PROCEEDINGS DURING THE PAST FIVE YEARS) Indicate by check mark whether the registrant has filed all documents and reports required to be filed by Sections 12, 13 or 15(d) of the Securities Exchange Act of 1934 subsequent to the distribution of securities under a plan confirmed by a court. Yes  No  Table of Contents UTSTARCOM HOLDINGS CORP.TABLE OF CONTENTS Page INTRODUCTION 1 PART I ITEM 1—Identity of Directors, Senior Management and Advisers 2 ITEM 2—Offer Statistics and Expected Timetable 2 ITEM 3—Key Information 2 ITEM 4—Information on the Company 33 ITEM 4A—Unresolved Staff Comments 40 ITEM 5—Operating and Financial Review and Prospects 40 ITEM 6—Directors, Senior Management and Employees 74 ITEM 7—Major Shareholders and Related Party Transactions 83 ITEM 8—Financial Information 83 ITEM 9—The Offer and Listing 85 ITEM 10—Additional Information 86 ITEM 11