0001012975-15-000804.txt : 20151123 0001012975-15-000804.hdr.sgml : 20151123 20151123170844 ACCESSION NUMBER: 0001012975-15-000804 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151113 FILED AS OF DATE: 20151123 DATE AS OF CHANGE: 20151123 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CASPIAN SERVICES INC CENTRAL INDEX KEY: 0001093430 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 870617371 STATE OF INCORPORATION: NV FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 2319 FOOTHILL BOULEVARD STREET 2: SUITE 160 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 BUSINESS PHONE: 801-746-3700 MAIL ADDRESS: STREET 1: 2319 FOOTHILL BOULEVARD STREET 2: SUITE 160 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 FORMER COMPANY: FORMER CONFORMED NAME: EMPS CORP DATE OF NAME CHANGE: 19990818 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sawikin Harvey CENTRAL INDEX KEY: 0001308752 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-33215 FILM NUMBER: 151250383 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2015-11-13 0 0001093430 CASPIAN SERVICES INC CSSV 0001308752 Sawikin Harvey 152 WEST 57TH ST, 24TH FLOOR NEW YORK NY 10019 0 0 1 0 Common Stock, par value $0.001 6994998 I See footnotes The 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. The 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. /s/ Harvey Sawikin 2015-11-23