- Amended Statement of Changes in Beneficial Ownership (4/A)
16 Agosto 2010 - 7:40PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kotov Alexey
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2. Issuer Name
and
Ticker or Trading Symbol
CASPIAN SERVICES INC
[
CSSV
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CEO and President
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(Last)
(First)
(Middle)
257 EAST 200 SOUTH, SUITE 490
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/2/2010
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(Street)
SALT LAKE CITY, UT 84111
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/10/2010
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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8/2/2010
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A
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V
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437950
(1)
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A
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$0
(1)
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469617
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D
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Options
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$3.00
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8/1/2005
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7/31/2015
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Common
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100000
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100000
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D
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Explanation of Responses:
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(
1)
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On August 2, 2010 Mr. Kotov was appointed President and Chief Executive Officer of the Issuer. In connection with his appointment Mr. Kotov entered into a new employment agreement with the Issuer that provides he be issued, on an annual basis, restricted stock representing 0.85% of the Issuer's total shares issued and outstanding for the duration of the term of his employment agreement with the Issuer. The shares issued to Mr. Kotov shall vest equally over a period of three years beginning on the first anniversary date of the grant. On August 2, 2010 the Issuer had 51,523,542 common shares issued and outstanding, accordingly, Mr. Kotov will be issued 437,950 shares of common stock. The shares reported in this Form 4 reflect his initial restricted stock grant under the employment agreement. In addition to the shares disclosed above, the Mr. Kotov also owns 31,667 shares.
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Remarks:
The purpose of this amendment is to correct an error in the number of shares acquired as disclosed in the original Form 4 filed by Mr. Kotov on August 10, 2010. As a result of an inadvertent clerical error the number of shares acquired was overstated by 3,230 shares.
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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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Kotov Alexey
257 EAST 200 SOUTH, SUITE 490
SALT LAKE CITY, UT 84111
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X
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CEO and President
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Signatures
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/s/ Alexey Kotov
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8/13/2010
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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 4(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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Grafico Azioni Caspian Services (CE) (USOTC:CSSV)
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