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

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION
NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Hong Liang Lu

CHECK THE APPROPRIATE BOX IF A
MEMBER OF A GROUP (See Instructions)

(a)  ☐        (b)  ☒

SEC USE ONLY

SOURCE OF FUNDS (See
Instructions)

    OO

CHECK BOX IF DISCLOSURE OF
LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    ☐

CITIZENSHIP OR PLACE OF
ORGANIZATION

    United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

    1,158,346

SHARED VOTING POWER

    0

SOLE DISPOSITIVE POWER

    1,158,346

SHARED DISPOSITIVE POWER

    0

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    1,158,346⁵

CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)    ☐

PERCENT OF CLASS REPRESENTED BY
AMOUNT IN ROW (11)

    3.3%⁶

TYPE OF REPORTING PERSON (See
Instructions)

    IN