[(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 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)]
[(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 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)]
[(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 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)]
[UTStarcom Announces Share Subscription by Shah Capital Hong Kong, March 12, 2014 UTStarcom (NASDAQ: UTSI), a global telecommunications infrastructure provider , today announced that it entered into a Share Subscription Agreement (the Subscription Agreement) with Shah Capital Opportunity Fund LP (Shah Capital) on March 11, 2014. The transaction was consummated on the same date. Following the close of] [SHARE SUBSCRIPTION AGREEMENT This Share Subscription Agreement Agreement (this March 11 , 2014, is between Company Purchaser UTStarcom Holdings Corp., a company incorporated in the Cayman Islands (the WHEREAS, on the terms and conditions set forth in this Agreement, the Company desires to issue and allot to the Purchaser , and the Purchaser desire s to subscribe for] [FORM 6-K March 2014 UTSTARCOM HOLDINGS CORP. Union 7, Level 23, One Island East 18 Westlands Road, Hong Kong Form 20-F x Form 40-F o o o Yes o No x]
[UTStarcom Announces Share Subscription by Shah Capital Hong Kong, March 12, 2014 UTStarcom (NASDAQ: UTSI), a global telecommunications infrastructure provider , today announced that it entered into a Share Subscription Agreement (the Subscription Agreement) with Shah Capital Opportunity Fund LP (Shah Capital) on March 11, 2014. The transaction was consummated on the same date. Following the close of] [SHARE SUBSCRIPTION AGREEMENT This Share Subscription Agreement Agreement (this March 11 , 2014, is between Company Purchaser UTStarcom Holdings Corp., a company incorporated in the Cayman Islands (the WHEREAS, on the terms and conditions set forth in this Agreement, the Company desires to issue and allot to the Purchaser , and the Purchaser desire s to subscribe for] [FORM 6-K March 2014 UTSTARCOM HOLDINGS CORP. Union 7, Level 23, One Island East 18 Westlands Road, Hong Kong Form 20-F x Form 40-F o o o Yes o No x]
[JOINT FILING AGREEMENT Prescott Group Capital Management, L.L.C. PHIL FROHLICH, Managing Member Prescott Group Aggressive Small Cap, L.P. PHIL FROHLICH, Managing Member Prescott Group Aggressive Small Cap II, L.P. PHIL FROHLICH, Managing Member Phil Frohlich EX-99.1 2 d674964dex991.htm EX-99.1] [CUSIP No. 918076100 13G 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Prescott Group Capital Management, L.L.C. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* ¨ ¨ (a) 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Oklahoma NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5]
[SCHEDULE 13G CUSIP NO. 918076100 PAGE 2 OF 8 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only). SoftBank America Inc. 2 Check the Appropriate Box if a Member of a Group ¨ (a) x (b) 3 SEC Use Only 4 Citizenship or Place of Organization DELAWARE NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH]
[(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 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)]
[(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 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)]
[UTStarcom Announces Share Purchase from SoftBank BEIJING, China, January 17, 2014 UTStarcom Holdings Corp. (UTStarcom or the Company) (NASDAQ: UTSI), a leading provider of media operational support services and broadband products and services, today announced that it entered into a Purchase and Sale Agreement (the Share Purchase Agreement) with SoftBank America Inc. (SoftBank) and Shah Capital Opportunity Fund LP] [PURCHASE AND SALE AGREEMENT Agreement This Purchase and Sale Agreement (this 17 Company Purchasers Purchaser Seller , 2014, is among UTStarcom Holdings Corp., a company incorporated in the Cayman Islands (the WHEREAS, on the terms and conditions set forth in this Agreement, the Seller desires to sell, and the Purchasers desire to purchase an aggregate number of 4,883,875] [FORM 6-K January 2014 UTSTARCOM HOLDINGS CORP. The front tower Shiba koen 2-6-3 Shiba koen, Minato-ku, Tokyo 105-0011 Japan Form 20-F x Form 40-F o o o Yes o No x UTStarcom Holdings Corp.]
