0001383838-14-000027.txt : 20140822
0001383838-14-000027.hdr.sgml : 20140822
20140822132109
ACCESSION NUMBER: 0001383838-14-000027
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140822
DATE AS OF CHANGE: 20140822
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: UTSTARCOM HOLDINGS CORP.
CENTRAL INDEX KEY: 0001030471
STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669]
IRS NUMBER: 521782500
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-60651
FILM NUMBER: 141059627
BUSINESS ADDRESS:
STREET 1: 52-2 BLDG. BDA INTL ENTERPRISE AVE
STREET 2: NO. 2 JINGYUAN NORTH ST. DAXING DISTRICT
CITY: BEIJING
STATE: F4
ZIP: 100176
BUSINESS PHONE: 86 (10) 85205588
MAIL ADDRESS:
STREET 1: 52-2 BLDG. BDA INTL ENTERPRISE AVE
STREET 2: NO. 2 JINGYUAN NORTH ST. DAXING DISTRICT
CITY: BEIJING
STATE: F4
ZIP: 100176
FORMER COMPANY:
FORMER CONFORMED NAME: UTSTARCOM INC
DATE OF NAME CHANGE: 19970110
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: SHAH CAPITAL MANAGEMENT
CENTRAL INDEX KEY: 0001383838
IRS NUMBER: 201804775
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: 8601 SIX FORKS ROAD
STREET 2: SUITE 630
CITY: RALEIGH
STATE: NC
ZIP: 27615
BUSINESS PHONE: 919 719 6360
MAIL ADDRESS:
STREET 1: 8601 SIX FORKS ROAD
STREET 2: SUITE 630
CITY: RALEIGH
STATE: NC
ZIP: 27615
SC 13D/A
1
schedule13damendedthirteen.txt
FILING AMENDMENT THIRTEEN
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO.13)
SCHEDULE 13D/A
UTSTARCOM HOLDINGS CORP
(Name of Issuer)
Common Stock
(Title of Class of Securities)
918076100
(CUSIP Number)
Shah Capital Management
8601 Six Forks Road, Suite 630
Raleigh, NC 27615
Tel. No.: (919) 719-6360
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
August 21, 2014
(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 of 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 Rule 13d 7
for other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting
person's 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).
(1) Names of reporting persons:
Shah Capital Management
(2) Check the appropriate box if a member of a group:
(a)
(b)
(3) SEC use only
(4) Source of funds (see instructions)
OO
(5) Check if disclosure of legal proceedings is required pursuant
to Items 2(d) or 2(e) of Schedule 13D
N/A
(6) Citizenship or place of organization
NORTH CAROLINA
Number of shares beneficially owned by each reporting person with:
(7) Sole voting power
0
(8) Shared voting power
10,171,478
(9) Sole dispositive power
0
(10) Shared dispositive power
10,171,478
(11) Aggregate amount beneficially owned by each reporting person
10,171,478
(12) Check if the aggregate amount in Row (11) excludes certain shares
(see instructions)
N/A
(13) Percent of class represented by amount in Row (11)
27.18%
(14) Type of reporting person (see instructions)
IA
(1) Names of reporting persons:
Shah Capital Opportunity Fund LP
(2) Check the appropriate box if a member of a group:
(a)
(b)
(3) SEC use only
(4) Source of funds (see instructions)
OO
(5) Check if disclosure of legal proceedings is required pursuant
to Items 2(d) or 2(e) of Schedule 13D
N/A
(6) Citizenship or place of organization
DELAWARE
Number of shares beneficially owned by each reporting person with:
(7) Sole voting power
0
(8) Shared voting power
8,570,331
(9) Sole dispositive power
0
(10) Shared dispositive power
8,570,331
(11) Aggregate amount beneficially owned by each reporting person
8,570,331
(12) Check if the aggregate amount in Row (11) excludes certain shares
(see instructions)
N/A
(13) Percent of class represented by amount in Row (11)
22.90%
(14) Type of reporting person (see instructions)
PN
(1) Names of reporting persons:
Himanshu H. Shah
(2) Check the appropriate box if a member of a group:
(a)
(b)
(3) SEC use only
(4) Source of funds (see instructions)
PF
(5) Check if disclosure of legal proceedings is required pursuant
to Items 2(d) or 2(e) of Schedule 13D
N/A
(6) Citizenship or place of organization
UNITED STATES
Number of shares beneficially owned by each reporting person with:
(7) Sole voting power
433,691
(8) Shared voting power
10,605,169
(9) Sole dispositive power
433,691
(10) Shared dispositive power
10,605,169
(11) Aggregate amount beneficially owned by each reporting person
10,605,169
(12) Check if the aggregate amount in Row (11) excludes certain shares
(see instructions)
N/A
(13) Percent of class represented by amount in Row (11)
28.34%
(14) Type of reporting person (see instructions)
IN
SCHEDULE 13D
Item 1. Security and Issuer
Common Stock of UTSTARCOM HOLDINGS CORP.
UTSTARCOM HOLDINGS CORP
52-2 Building, BDA International Enterprise Avenue
No. 2 Jingyuan North Street
Daxing District, Beijing 100176
Item 2. Identity and Background
(a). Name: SHAH CAPITAL MANAGEMENT.
(b). Business Address: 8601 Six Forks Road, Suite 630, Raleigh, NC 27615
(c). Principal business: Asset management
(d). During the last five years, the reporting person has not been convicted
in a criminal proceeding.
(e). During the last five years, the reporting person has not been a party to
a civil proceeding of a judicial or administrative body of competent
jurisdiction.
(f). N/A
Item 3. Source and Amount of Funds or Other Consideration
In making the purchases of the shares of Common Stock, the reporting person
uses the assets under management.
Item 4. Purpose of the Transaction
The reporting person values the issuer as a good investment.
Item 5. Interest in Securities of the Issuer
(a) Aggregate number of shares owned:
(b) Percentage of class of securities owned:
(c) Number of Shares to which reporting person has:
(i) Sole Voting Power
(ii) Shared Voting Power
(iii) Sole Dispositive Power
(iv) Shared Dispositive Power
SCM Shah Capital Opportunity Himanshu
Fund LP
(a) 10,171,478 8,570,331 10,605,169
(b) 27.18% 22.90% 28.34%
(i) N/A N/A 433,691
(ii) 10,171,478 8,570,331 10,605,169
(iii) N/A N/A 433,691
(iv) 10,171,478 8,570,331 10,605,169
(c) The Reporting Person has effected transactions
relating to the Ordinary Shares during the past sixty (60)
days
(d) to (e). Not Applicable
Item 6. Contracts, Arrangements, Understandings or Relationships with
Respect to Securities of the Issuer
Not Applicable
Item 7. Material to be Filed as Exhibits
Not Applicable
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true,
complete and correct.
Date: August 22, 2014
Signature: Himanshu H. Shah/Sd.
Name/Title: Himanshu H. Shah, President and CIO