13D Filing: Shah Capital Management and Utstarcom Holdings Corp. (NASDAQ:UTSI)

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You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Shah Capital Opportunity Fund 0 7,550,000 0 7,550,000 7,550,000 21.3%
Himanshu H. Shah 0 7,550,000 0 7,550,000 7,550,000 21.3%
Hong Liang Lu 1,158,346 0 1,158,346 0 1,158,346 3.3%
Lu Charitable Remainder Trust 26,925 0 26,925 0 26,925 0.1%
Lu Family Trust 16,408 0 16,408 0 16,408 0.0%
The Lu Family Limited Partnership 76,333 0 76,333 0 76,333 0.2%
Tenling Ti 180,596 0 180,596 0 180,596 0.5%

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Washington, D.C. 20549


Under the Securities Exchange Act of 1934

(Amendment No. 18)*


(Name of Issuer)

Ordinary Shares, par value US$0.00375 per share

(Title of Class of Securities)


(CUSIP Number)

Shah Capital Management

8601 Six Forks Road, Suite 630

Raleigh, NC 27615

Telephone: +1 (919) 719-6360

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

March 31, 2017

(Date of
Event Which Requires Filing of this Statement)

If the
filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because § 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g) check the following
box  ☐.

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §
240.13d-7(b) for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting persons 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).

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