Caspian Services Inc - Initial Statement of Beneficial Ownership (3)
08 Luglio 2008 - 8:56PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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February 28, 2011
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0.5
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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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1. Name and Address of Reporting Person
*
Altima Central Asia Master Fund LTD
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/20/2008
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3. Issuer Name
and
Ticker or Trading Symbol
CASPIAN SERVICES INC [CSSV]
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(Last)
(First)
(Middle)
QUEENSGATE HOUSE, SOUTH CHURCH STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
GEORGETOWN, GRAND CAYMAN, E9 GT1234
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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6521740
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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All shares are underlying convertible debt determined at the close of trading on the transaction date. Debt is convertible at
a fixed price. The convertible debt is owned directly by Altima Central Asia Master Fund Limited (the "Master Fund"), and
may be deemed to be beneficially owned by Altima Central Asia Fund Limited (the "Feeder Fund"), a controlling shareholder of
the Master Fund; Altima Partners LLP (the "Adviser"), the investment adviser to the Master Fund and the Feeder Fund; Mark
Donegan, Malcolm Goddard, Edmund Limerick and Alexander Schwarzkopf as partners of the Adviser; and Edmund Limerick and
Alexander Schwarzkopf, the portfolio managers for the Master Fund.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Altima Central Asia Master Fund LTD
QUEENSGATE HOUSE
SOUTH CHURCH STREET
GEORGETOWN, GRAND CAYMAN, E9 GT1234
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X
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Altima Central Asia Fund LTD
QUEENSGATE HOUSE
SOUTH CHURCH STREET
GEORGETOWN, GRAND CAYMAN, E9 GT1234
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X
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Altima Partners LLP
STIRLING SQUARE
7 CARLTON GARDENS,
LONDON, X0 SW1Y 5AD
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X
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Schwarzkopf Alexander
STIRLING SQUARE
7 CARLTON GARDENS
LONDON, X0 SW1Y 5AD
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X
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Limerick Edmund
STIRLING SQUARE
7 CARLTON GARDENS
LONDON, X0 SW1Y 5AD
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X
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Donegan Mark
STIRLING SQUARE
7 CARLTON GARDENS
LONDON, X0 SW1Y 5AD
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X
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Goddard Malcolm
STIRLING SQUARE
7 CARLTON GARDENS
LONDON, X0 SW1Y 5AD
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X
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Signatures
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Altima Central Asia (Master) Fund Limited By: /s/ Scott Baker, Director
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6/30/2008
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**
Signature of Reporting Person
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Date
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Altima Central Asia Fund Limited By: /s/ Scott Baker, Director
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6/30/2008
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**
Signature of Reporting Person
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Date
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Altima Partners LLP By: /s/ Malcolm Goddard, Partner
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6/30/2008
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**
Signature of Reporting Person
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Date
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By: /s/ Malcolm Goddard
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6/30/2008
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**
Signature of Reporting Person
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Date
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By: /s/ Mark Donegan
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6/30/2008
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**
Signature of Reporting Person
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Date
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By: /s/ Edmund Limerick
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6/30/2008
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**
Signature of Reporting Person
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Date
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By: /s/ Alexander Schwarzkopf
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6/30/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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