UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHAH CAPITAL OPPORTUNITY FUND LP 8601 SIX FORKS ROAD SUITE 630 RALEIGH, NC 27615 |
 |  X |  |  |
SHAH CAPITAL MANAGEMENT 8601 SIX FORKS ROAD SUITE 630 RALEIGH, NC 27615 |
 |  X |  |  |
HIMANSHU SHAH 8601 SIX FORKS ROAD SUITE 630 RALEIGH, NC 27615 |
 |  X |  |  |
By: /s/ Shah Capital LLC, its General Partner; By: /s/ Himanshu H. Shah, Managing Member | 01/03/2018 | |
**Signature of Reporting Person | Date | |
By: /s/ Himanshu H. Shah, President and Chief Investment Officer | 01/03/2018 | |
**Signature of Reporting Person | Date | |
By: /s/ Himanshu H. Shah | 01/03/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Form 3 is filed jointly by Shah Capital Opportunity Fund LP ("Shah Oppportunity"), Shah Capital Management ("Shah Management"), and Himanshu H. Shah (collectively, the "Reporting Persons"). |
(2) | Each Reporting Person is a member of a reporting group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, the Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The Reporting Person disclaims beneficial ownership of the shares of Common Stock except to the extent of his/her pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such shares of Common Stock for any purpose, including for the purpose of Section 16. |
(3) | Shares of Common Stock beneficially owned by Shah Opportunity. Shah Management, as the investment manager of Shah Opportunity, may be deemed to be the beneficial owner of the shares beneficially owned by Shah Opportunity. Mr. Shah, as the President and Chief Investment Officer of Shah Management, may be deemed to be the beneficial owner of the shares beneficially owned by Shah Opportunity. |
(4) | Shares held in an account managed by Shah Management. Mr. Shah, as the President and Chief Investment Officer, may be deemed to be the beneficial owner of the shares beneficially owned by Shah Management. |
(5) | Shares of Common Stock owned directly by Mr. Himanshu Shah. |