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
- 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.
- Represents total number of shares held by Shah Capital Opportunity Fund LP as of 3/11/2014
- 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
- 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
Billionaire Hedge Funds
