UTSI [UTSTARCOM] SC 13D/A: JOINT FILING AGREEMENT 13d-1(k) In accordance with Rule

Ticker: UTSI, Company: UTSTARCOM HOLDINGS CORP., Type: SC 13D/A, Date: 2019-09-06
Original SEC Filing: Click here


Webplus: UTSI/20190906/SC_13D.A/2_EX-99.10/000.htm SEC Original: d911156dex9910.htm
JOINT FILING AGREEMENT 13d-1(k) In accordance with Rule [ Shah Capital Opportunity Fund LP Himanshu H. Shah Managing Member Himanshu H. Shah Himanshu H. Shah Hong Liang Lu Hong Liang Lu Lu Charitable Remainder Trust Hong Liang Lu Trustee Lu Family Trust Hong Liang Lu & Lucy Lu TTEES Hong Liang Lu Trustee Hong Lu and Lucy Lu JTWROS Hong



EX-99.10 2 d911156dex9910.htm EX-99.10

Exhibit 99.10

JOINT FILING AGREEMENT

In accordance with Rule13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the ordinary shares, par value US$0.00375 per share, of UTStarcom Holdings Corp., and that this Agreement be included as an Exhibit to such joint filing. Each of the undersigned acknowledges that each shall be responsible for the timely filing of any statement (including amendments) on Schedule 13D, and for the completeness and accuracy of the information concerning him or it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the other persons making such filings, except to the extent that he or it knows or has reason to believe that such information is inaccurate.

[Signature pages to follow]


IN WITNESS WHEREOF, the undersigned hereby execute this agreement as of September 6, 2019.

Shah Capital Opportunity Fund LP
By: Shah Capital LLC, the General Partner
By:

/s/ Himanshu H. Shah

Name: Himanshu H. Shah
Title: Managing Member
Himanshu H. Shah
By:

/s/ Himanshu H. Shah

Name: Himanshu H. Shah
Hong Liang Lu
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
Lu Charitable Remainder Trust
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
Title: Trustee
Lu Family Trust Hong Liang Lu & Lucy Lu TTEES
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
Title: Trustee
Hong Lu and Lucy Lu JTWROS
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
By:

/s/ Lucy Lu

Name: Lucy Lu
Hong Liang Lu IRA
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
The Lu Family Limited Partnership
By: Hong Liang Lu, the General Partner
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu


Webplus: UTSI/20190906/SC_13D.A/1/000.htm SEC Original: d911156dsc13da.htm
SCHEDULE 13D CUSIP No. 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Shah Capital Opportunity Fund LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) ☐ (b) ☒ 3 SEC USE ONLY 4 SOURCE OF FUNDS (See Instructions) OO 5 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware



SC 13D/A 1 d911156dsc13da.htm SC 13D AMENDMENT NO. 22


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

Shah Capital Opportunity Fund LP

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  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

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

01

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

Type of reporting person (See Instructions)

PN

1

There are no Ordinary Shares registered in the name of Shah Capital Opportunity Fund LP. Shah Capital LLC is the general partner of Shah Opportunity. Mr. Shah is the managing member of Shah Capital LLC.


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

Himanshu H. Shah

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  6

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

02

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

Type of reporting person (See Instructions)

IN

2

There are no Ordinary Shares registered in the name of Shah Capital Opportunity Fund LP. Shah Capital LLC is the general partner of Shah Opportunity. Mr. Shah is the managing member of Shah Capital LLC.


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

Hong Liang Lu

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  6

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

03

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

TYPE OF REPORTING PERSON (See Instructions)

IN

3

There are no Ordinary Shares registered in the name of any of (i) Mr. Lu, (ii) Lu Charitable Remainder Trust, of which Mr. Lu is the trustee, (iii) the Lu Family Trust Hong Liang Lu & Lucy Lu TTEES, of which Mr. Lu is a trustee and of which Mr. Lu and his spouse are beneficiaries, (iv) The Lu Family Limited Partnership, of which Mr. Lu is a general partner, (v) Hong Lu and Lucy Lu JTWROS, of which Mr. Lu and his spouse are beneficiaries and (vi) Hong Liang Lu IRA, of which Mr. Lu is the sole beneficiary.


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

Lu Charitable Remainder Trust

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  6

CITIZENSHIP OR PLACE OF ORGANIZATION

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

04

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

TYPE OF REPORTING PERSON (See Instructions)

OO

4

There are no Ordinary Shares registered in the name of Lu Charitable Remainder Trust. Mr. Lu is the trustee of Lu Charitable Trust.


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

Lu Family Trust Hong Liang Lu & Lucy Lu TTEES

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  6

CITIZENSHIP OR PLACE OF ORGANIZATION

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

05

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

TYPE OF REPORTING PERSON (See Instructions)

OO

5

There are no Ordinary Shares registered in the the name of Lu Family Trust Hong Liang Lu & Lucy Lu TTEES. Mr. Lu is a trustee of Lu Family Trust Hong Liang Lu & Lucy Lu TTEES, of which Mr. Lu and his spouse are beneficiaries.


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

The Lu Family Limited Partnership

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  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

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

06

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

TYPE OF REPORTING PERSON (See Instructions)

PN

6

There are no Ordinary Shares registered in the name of the Lu Family Limited Partnership. Mr. Lu is a general partner of Lu Family Partnership.


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

Hong Lu and Lucy Lu JTWROS

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  6

CITIZENSHIP OR PLACE OF ORGANIZATION

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

07

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

TYPE OF REPORTING PERSON (See Instructions)

OO

7

There are no Ordinary Shares registered in the name of Hong Lu and Lucy Lu JTWROS. Mr. Lu and his spouse are beneficiaries of Hong Lu and Lucy Lu JTWROS.


SCHEDULE 13D

CUSIP No. 918076100

  1

NAME OF REPORTING PERSONS

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

Hong Liang Lu IRA

  2

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

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (See Instructions)

OO

  5

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

  6

CITIZENSHIP OR PLACE OF ORGANIZATION

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

0

  8

SHARED VOTING POWER

0

  9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

08

12

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

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0.0%

14

TYPE OF REPORTING PERSON (See Instructions)

OO

8

There are no Ordinary Shares registered in the name of Hong Liang Lu IRA. Mr. Lu is the beneficiary of Hong Liang Lu IRA.


Introductory Note

This Amendment No. 22 to Schedule 13D (this “Amendment No. 22”) is being jointly filed by Shah Capital Opportunity Fund LP (“Shah Opportunity”), Himanshu H. Shah (“Mr. Shah”), Hong Liang Lu (“Mr. Lu”), Lu Charitable Remainder Trust (“Lu Charitable Trust”), Lu Family Trust Hong Liang Lu & Lucy Lu TTEES (“Lu Family Trust”), The Lu Family Limited Partnership (“Lu Family Partnership”), Hong Lu and Lucy Lu JTWROS, and Hong Liang Lu IRA (collectively with Shah Opportunity, Mr. Shah, Mr. Lu, Lu Charitable Trust, Lu Family Trust, Lu Family Partnership, Hong Lu and Lucy Lu JTWROS, the “Reporting Persons”, each a “Reporting Person”) to amend and supplement the Schedule 13D filed initially byE-Town International Holding (Hong Kong) Co., Limited with the Securities and Exchange Commission (the “SEC”) on September 7, 2010, as previously amended by Amendment No. 1 filed on September 7, 2010, Amendment No. 4 filed on January 10, 2012, Amendment No. 5 filed on July 11, 2012 , Amendment No. 6 filed on January 15, 2013, Amendment No. 7 filed on January 15, 2013, Amendment No. 8 filed on March 27, 2013, Amendment No. 9 filed on October 31, 2013, Amendment No. 10 filed on January 17, 2014, Amendment No. 11 filed on March 11, 2014, Amendment No. 13 filed on August 21, 2014, Amendment No. 14 filed on August 6, 2015, Amendment No. 15 filed on November 4, 2015, Amendment No. 16 filed on December 4, 2015, Amendment No. 17 filed on November 10, 2016, Amendment No. 18 filed on March 31, 2017, Amendment No. 19 filed on October 23, 2017, Amendment No. 20 filed on February 4, 2019 and Amendment No. 21 filed on August 2, 2019, respectively (as so amended, the “Original Schedule 13D”). The Reporting Persons have entered into a joint filing agreement (the “Joint Filing Agreement”), dated as of September 6, 2019, a copy of which is attached hereto as Exhibit 99.10. Except as amended and supplemented herein, the information set forth in the Original Schedule 13D remains unchanged. Capitalized terms used herein have meanings as assigned thereto in the Original Schedule 13D unless defined herein.

Item 2.

Identity and Background.

Item 2 of the Original Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:

The information set forth in Item 4 of this Amendment No. 22 is incorporated by reference in its entirety into this Item 2.

Item 4.

Purpose of Transaction.

Item 4 of the Original Schedule 13D is hereby amended and supplemented by adding the following at the end thereof:

Closing of the purchase and sale of the Sale Shares pursuant to the Purchase Agreement (as amended by the Amendment Agreement) occurred on September 3, 2019. Upon such closing, (a) the Reporting Persons no longer beneficially own any Ordinary Shares or have any voting power or dispositive power over any Ordinary Shares; and (b) Mr. Shah and Mr. Lu resigned from the Company’s board of directors (the “Board”), and Mr. Yongqing Yan and Mr. Jintong Lin (designees of the Acquirer) were appointed to the Board. Mr. Yongqing Yan will serve as Chairman of the Board.

Item 5.

Interest in Securities of the Issuer

Item 5 of the Original Schedule 13D is hereby amended and restated in its entirety as follows:

(a)-(b) The following table sets forth the beneficial ownership of Ordinary Shares of the Company for each of the Reporting Persons as of September 3, 2019.

Name

Shares
Beneficially
Owned
Percentage
of Total
Sole
Voting
Power
Shared
Voting
Power
Sole
Dispositive
Power
Shared
Dispositive
Power

Shah Opportunity(1)

0 0.0 % 0 0

Mr. Shah(2)

0 0.0 % 0 0

Mr. Lu(3)

0 0.0 % 0 0

Lu Charitable Trust(4)

0 0.0 % 0 0

Lu Family Trust(5)

0 0.0 % 0 0

Lu Family Partnership(6)

0 0.0 % 0 0

Hong Lu and Lucy Lu JTWROS(7)

0 0.0 % 0 0

Hong Liang Lu IRA (8)

0 0.0 % 0 0


(1)

There are no Ordinary Shares registered in the name of Shah Opportunity. Shah Capital LLC is the general partner of Shah Opportunity. Mr. Shah is the managing member of Shah Capital LLC.

(2)

There are no Ordinary Shares registered in the name of Shah Opportunity. Shah Capital LLC is the general partner of Shah Opportunity. Mr. Shah is the managing member of Shah Capital LLC.

(3)

There are no Ordinary Shares registered in the name of any of (i) Mr. Lu, (ii) Lu Charitable Remainder Trust, of which Mr. Lu is the trustee, (iii) the Lu Family Trust Hong Liang Lu & Lucy Lu TTEES, of which Mr. Lu is a trustee and of which Mr. Lu and his spouse are beneficiaries, (iv) the Lu Family Limited Partnership, of which Mr. Lu is a general partner, (v) Hong Lu and Lucy Lu JTWROS, of which Mr. Lu and his spouse are beneficiaries and (vi) Hong Liang Lu IRA, of which Mr. Lu is the sole beneficiary.

(4)

There are no Ordinary Shares registered in the name of Lu Charitable Remainder Trust. Mr. Lu is the trustee of Lu Charitable Trust.

(5)

There are no Ordinary Shares registered in the name of the Lu Family Trust Hong Liang Lu & Lucy Lu TTEES. Mr. Lu is the trustee of Lu Family Trust, of which Mr. Lu and his spouse are beneficiaries.

(6)

There are no Ordinary Shares registered in the name of the Lu Family Limited Partnership. Mr. Lu is a general partner of the Lu Family Partnership.

(7)

There are no Ordinary Shares registered in the name of Hong Lu and Lucy Lu JTWROS. Mr. Lu and his spouse are beneficiaries of Hong Lu and Lucy Lu JTWROS.

(8)

There are no Ordinary Shares registered in the name of Hong Liang Lu IRA. Mr. Lu is the holder and sole beneficiary of Hong Liang Lu IRA.

(c)

Except as disclosed in Item 6 below, to the best knowledge of each of the Reporting Persons, such Reporting Person has not effected any transactions relating to the Ordinary Shares during the past sixty (60) days.

(d)

None

(e)

Closing of the purchase and sale of the Sale Shares pursuant to the Purchase Agreement (as amended by the Amendment Agreement) occurred on September 3, 2019. Pursuant thereto, the Reporting Persons no longer beneficially own any Ordinary Shares or have any voting power or dispositive power over any Ordinary Shares.

By virtue of their relationship and actions in respect of the Purchase Agreement (as amended by the Amendment Agreement) as described herein, the Reporting Persons may be deemed to constitute a “group” with the other Reporting Persons and/or their respective affiliates within the meaning of Rule13d-5(b) under the Exchange Act of 1934. As a member of a group, each Reporting Person may be deemed to beneficially own the Ordinary Shares beneficially owned by the members of the group as a whole. However, the Reporting Persons expressly disclaim any beneficial ownership of such shares held by the other Reporting Persons and/or their respective affiliates, other than those beneficially owned by each Reporting Person as set forth in this Amendment No. 22. Neither the filing of this Schedule 13D nor any of its contents shall be deemed to constitute an admission by the Reporting Persons that they are the beneficial owners of any Ordinary Shares as may be beneficially owned by the other Reporting Persons and/or their respective affiliates (other than those beneficially owned by each Reporting Person as set forth in this Amendment No. 22) for purposes of Section 13(d) of the Exchange Act of 1934 or for any other purpose.

Item 6.

Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

Item 6 of the Original Schedule 13D is hereby amended and supplemented in its entirety as follows:

The descriptions under Item 4 and Item 5 of this Amendment No. 22, as well as the Joint Filing Agreement which is attached as Exhibit 99.10 hereto, are incorporated herein by reference in their entirety.


Item 7.

Materials to be Filed as Exhibits.

Item 7 of the Original Schedule 13D is hereby amended and supplemented by adding the following exhibits:

Exhibit
No.
Description
99.10 Joint Filing Agreement


SIGNATURES

After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Dated:

September 6, 2019

Shah Capital Opportunity Fund LP
By: Shah Capital LLC, the General Partner
By:

/s/ Himanshu H. Shah

Name: Himanshu H. Shah
Title: Managing Member
Himanshu H. Shah
By:

/s/ Himanshu H. Shah

Name: Himanshu H. Shah
Hong Liang Lu
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
Lu Charitable Remainder Trust
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
Title: Trustee
Lu Family Trust Hong Liang Lu & Lucy Lu TTEES
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
Title: Trustee
Hong Lu and Lucy Lu JTWROS
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
By:

/s/ Lucy Lu

Name: Lucy Lu
Hong Liang Lu IRA
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu
The Lu Family Limited Partnership
By: Hong Liang Lu, the General Partner
By:

/s/ Hong Liang Lu

Name: Hong Liang Lu


EXHIBIT INDEX

Exhibit
No.
Description
99.10 Joint Filing Agreement

Company Info:

Ticker: UTSI, Company: UTSTARCOM HOLDINGS CORP., Type: SC 13D/A, Date: 2019-09-06CIK: 0001030471, Location: K3, SIC: 3669, SIC Desc: COMMUNICATIONS EQUIPMENT, NEC
Business Phone & Address:
6TH FLOOR, 28 HENNESSY ROAD, ADMIRALTY
HONG KONG, K3 NA

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