0001144204-12-008139.txt : 20120214 0001144204-12-008139.hdr.sgml : 20120214 20120214085921 ACCESSION NUMBER: 0001144204-12-008139 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vicis Capital, LLC CENTRAL INDEX KEY: 0001341950 IRS NUMBER: 450538105 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11503 FILM NUMBER: 12602847 BUSINESS ADDRESS: STREET 1: TOWER 56, SUITE 700, 126 E. 56TH STREET STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-909-4600 MAIL ADDRESS: STREET 1: TOWER 56, SUITE 700, 126 E. 56TH STREET STREET 2: 7TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 v301572_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement [ ] adds new holding entries Institutional Investment Manager Filing this Report: Name: Vicis Capital, LLC Address: 445 Park Avenue Suite 1901 New York, NY 10022 Form 13F File Number: 28-11503 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Andrew Comito Title: Compliance Officer Phone: 212-909-4600 Signature, Place and Date of Signing: /s/ Andrew Comito New York, NY 2/7/2012 ----------------- ------------ -------- (Signature) (City, State) (Date) Report Type (Check only one): [X] 13F HOLDINGS REPORT: (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE: (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT: (Check here if a portion of the holding for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 4 Form 13F Information Table Value Total: $86,949 (in thousands) List of Other Included Managers: None
--------------------------------------------------------------------------------------------------------------------------------- FORM 13F INFORMATION TABLE --------------------------------------------------------------------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 --------------------------------------------------------------------------------------------------------------------------------- Voting Value Shrs or SH/ Put/ Investment Other Authority Name of Issuer Title of Class CUSIP (X$1,000) Prn Amt PRN Call Discretion Managers Sole Shared None --------------------------------------------------------------------------------------------------------------------------------- GLOWPOINT INC COM NEW 379887201 $22,527 9,586,060 SH Sole X --------------------------------------------------------------------------------------------------------------------------------- AMBIENT CORP COM NEW 02318N201 $64,274 13,882,083 SH Sole X --------------------------------------------------------------------------------------------------------------------------------- CHINA HYDROELECTRIC CORP SPONSORED ADR 16949D101 $ 143 125,000 SH Sole X --------------------------------------------------------------------------------------------------------------------------------- CHINA HYDROELECTRIC CORPORAT *W EXP 01/25/201 G2112E145 $ 5 125,000 CALL Sole X ---------------------------------------------------------------------------------------------------------------------------------