SEC Form 3 · accession 0001012975-15-000804
CASPIAN SERVICES INC · CSSV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harvey Sawikin
10% Owner
Period of report
Nov 13, 2015
Accepted (ET)
Nov 23, 2015 · 5:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001093430
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001F1,F2 | holding | — | — | — | 6,994,998 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person is the majority owner of Firebird Management LLC ("Management") and Firebird Avrora Advisors LLC ("Avrora") and may be deemed to control each of Management and Avrora. Management and Avrora act as investment advisors to, respectively, Firebird New Russia Fund, Ltd and Firebird Avrora Fund, Ltd. (collectively, the "Funds" and individually, each a "Fund") that own the shares subject to this Form 3. As investment advisers to the Funds, each of Management and Avrora has voting and investment control with respect to the shares held by the Fund that it advises. The Reporting Person may be deemed to have an indirect interest in certain of the shares owned by the Funds through its indirect holdings in the Funds.
- F2The Reporting Person disclaims beneficial ownership of all shares except to the extent of any pecuniary interest therein and this filing should not be deemed an admission of beneficial ownership for Section 16 purposes or any other purpose.