-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TvjXJFV7TkR52rHkPSnfaENTsei2DlyWsMyNGJG7a/rGG3e42pophk6Uhq8vM4O8 7JrLN4CQ2ZwmRj6rfiB5dQ== 0001160550-10-000002.txt : 20100216 0001160550-10-000002.hdr.sgml : 20100215 20100216135848 ACCESSION NUMBER: 0001160550-10-000002 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASPIAN SERVICES INC CENTRAL INDEX KEY: 0001093430 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 870617371 STATE OF INCORPORATION: NV FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78422 FILM NUMBER: 10606070 BUSINESS ADDRESS: STREET 1: 2319 FOOTHILL BOULEVARD STREET 2: SUITE 250 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 BUSINESS PHONE: 801-746-3700 MAIL ADDRESS: STREET 1: 2319 FOOTHILL BOULEVARD STREET 2: SUITE 250 CITY: SALT LAKE CITY STATE: UT ZIP: 84109 FORMER COMPANY: FORMER CONFORMED NAME: EMPS CORP DATE OF NAME CHANGE: 19990818 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UniCredit S.p.A. CENTRAL INDEX KEY: 0001160550 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: SEDE SOCIALE STREET 2: VIA MINGHETTI, 17 CITY: ROMA STATE: L6 ZIP: 0000000000 FORMER COMPANY: FORMER CONFORMED NAME: UNICREDITO ITALIANO SPA DATE OF NAME CHANGE: 20011009 SC 13G/A 1 caspian.txt ANNUAL 13G SECURITIES EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.3) CASPIAN SERVICES INCORPORATED (Name of Issuer) Common Stock (Title of Class of Securities) 14766Q107 (CUSIP Number) December 31, 2009 Date of Event Which Requires Filing of this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) 1) Name of Reporting Person: UniCredit S.p.A. 2) Check the Appropriate Box (a) of A Member of Group (See Instructions) (b) 3) SEC Use Only 4) Citizenship of Place of Organization Italy Number of (5)Sole Voting Shares Power 0 Beneficially Owned by Each Reporting Person With (6)Shared Voting Power 1,861,016 [See Item 4 below.] (7)Sole Disposi- tive Power 0 (8)Shared Disposi- tive Power 1,861,016 [See Item 4 below.] 9) Aggregate Amount Beneficially 1,861,016 Owned by Each [See Item 4 below.] Reporting Person 10) Check if the aggregate Amount in Row (9) Exclude Certain Shares (See Instructions) 11) Percent of Class Represented By Amount in Row 9. 3.6% 12) Type of Reporting Person (See Instructions) FI Item 1(a) Name of Issuer. CASPIAN SERVICES INCORPORATED Item 1(b) Address of Issuer's Principal Executive Offices: 2319 Foothill Boulevard Suite 250 Salt Lake City, UT 84109 United States Item 2(a) Name of Person Filing: UniCredit S.p.A. Item 2(b) Address of Principal Business Office: Piazza Cordusio 2 20123 Milan, Italy Item 2(c) Citizenship: UniCredit S.p.A is organized under the laws of Italy. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) Cusip Number: 14766Q107 Item 3 The person filing this statement pursuant to Rule 13d-1(b) or 13d-2(b) is: Inapplicable. Item 4. Ownership. (a) Amount Beneficially Owned: 1,861,016** (b) Percent of Class: 3.6% (c) Number of shares as to which such person has (i) sole power to vote or to direct the vote 0 (ii) shared power to vote or to direct vote 1,861,016** (iii) sole power to dispose or to direct disposition of 0 (iv) shared power to dispose or to direct disposition 1,861,016** **Shares reported on this Schedule 13G (the Shares) are owned by collective investment vehicles (Funds) advised by other advisors that are direct or indirect wholly-owned subsidiaries of UniCredit S.p.A (Additional UniCredit Subsidiaries). In their roles as investment manager or adviser to the Funds, the Additional UniCredit Subsidiaries possess investment and/or voting control over the Shares. UniCredit S.p.A. and the Additional UniCredit Subsidiaries disclaim beneficial ownership of the Shares except to the extent or their respective pecuniary interests therein, if any. The filing of this Schedule 13G shall not be construed as an admission that the Reporting Persons are the beneficial owners of the Shares for any other purposes than Section 13(d) of the Securities Exchange Act of 1934. In accordance with Securities and Exchange Commission Release No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the securities that may be deemed to be beneficially owned by the Reporting Persons. This filing does not reflect securities, if any, beneficially owned by (i) Pioneer Global Asset Management S.p.A. ("PGAM"), a wholly owned subsidiary of UniCredit which is disaggregated from the Reporting Persons in accordance with the Release, or (ii) any other subsidiaries of PGAM, which are similarly disaggregated from UniCredit. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date Hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check here: [X] Item 6. Ownership of More than Five Percent on Behalf of Another Person. Inapplicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported On By the Parent Holding Company. See Item 4. Item 8. Identification and Classification of Members of the Group. Inapplicable. Item 9. Notice of Dissolution of the Group. Inapplicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. By signing below UniCredit S.p.A. certifies that to the best of its knowledge and belief, the foreign regulatory scheme applicable to it as the holding company of a Banking Group that is regulated by the Bank of Italy and Commissione Nazionale per le Societa`e la Borsa (CONSOB), is substantially comparable to the regulatory scheme applicable to the functionally equivalent U.S. institution(s). UniCredit S.p.A. also undertakes to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 16, 2010 UniCredit S.p.A By: /s/ Paolo Fiorentino Name: Paolo Fiorentino Title: Deputy CEO; Head of Global Banking Services Division By: /s/ Sergio Ermotti Name: Sergio Ermotti Title: Deputy CEO; Head of Corporate Investment Banking, Private Private Banking, and Strategic Business Area EXHIBIT JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock of CASPIAN SERVICES INCORPORATED and further agree to the filing of this agreement as an Exhibit thereto. Each party to this Agreement expressly authorizes each other party to this Agreement to file on its behalf any and all amendments to such Statement on Schedule 13G. Date: February 16, 2010 UniCredit S.p.A By: /s/ Paolo Fiorentino Name: Paolo Fiorentino Title: Deputy CEO; Head of Global Banking Services Division By: /s/ Sergio Ermotti Name: Sergio Ermotti Title: Deputy CEO; Head of Corporate Investment Banking, Private Private Banking, and Strategic Business Area -----END PRIVACY-ENHANCED MESSAGE-----