Filing Details

Accession Number:
0001383838-14-000012
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2014-03-14 12:01:45
Reporting Period:
2014-03-11
Filing Date:
2014-03-14
Accepted Time:
2014-03-14 12:01:45
Original Submission Date:
2014-03-14
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1030471 Utstarcom Holdings Corp. UTSI Communications Equipment, Nec (3669) 521782500
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1383838 Management Capital Shah 8601 Six Forks Road
Suite 630
Raleigh NC 27615
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-03-11 2,000,000 $2.67 8,426,057 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,540,830 Indirect See Footnote
Common Stock 311,472 Direct
Footnotes
  1. 2 million shares represents shares of common stock added to Shah Capital Opportunity Fund LP (Fund) which could be deemed to be owned beneficially by Shah Capital Management (SCM) solely as a result of its discretionary power over such shares as investment adviser to the Fund and Shah Capital LLC as a General Partner to the Fund.
  2. Represents total number of shares held by Shah Capital Opportunity Fund LP as of 3/11/2014
  3. Represents shares of common stock deemed to be ownedd beneficially by Shah Capital Management solely as a result of its discretionary power over such shares as investment adviser to separately managed account clients and Shah Capital Opportunity Fund LP
  4. Represents shares held by Himanshu H. Shah directly. Mr. Shah is the President & CIO of Shah Capital Management (SCM) and the Managing Member of Shah Capital Opportunity Fund LP (Fund) and holds a controlling percentage of the outstanding voting securities of both entities. As a result of his position with and ownership of these entities, he could be deemed the beneficiary of the shares beneficially owned by SCM and the Fund except to the extent of his pecuniary interest in such shares