13D Filing: Shah Capital Management and UTStarcom Holdings Corp (UTSI)

NAME OF
REPORTING PERSONS

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

Himanshu H. Shah

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

0

SHARED VOTING POWER

7,550,000

SOLE DISPOSITIVE POWER

0

SHARED DISPOSITIVE POWER

7,550,000

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

7,550,000³

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

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

21.3%⁴

Type of reporting person (See
Instructions)

IN