0001140361-12-007588.txt : 20120214
0001140361-12-007588.hdr.sgml : 20120214
20120214090923
ACCESSION NUMBER: 0001140361-12-007588
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: NEW VERNON INVESTMENT MANAGEMENT LLC
CENTRAL INDEX KEY: 0001500605
IRS NUMBER: 364263954
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14174
FILM NUMBER: 12602894
BUSINESS ADDRESS:
STREET 1: 799 CENTRAL AVENUE
STREET 2: SUITE 350
CITY: HIGHLAND PARK
STATE: IL
ZIP: 60035
BUSINESS PHONE: 847-926-5712
MAIL ADDRESS:
STREET 1: 799 CENTRAL AVENUE
STREET 2: SUITE 350
CITY: HIGHLAND PARK
STATE: IL
ZIP: 60035
13F-HR
1
form13fhr.txt
NONE
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 12/31/2011
Check here if Amendment []; Amendment Number:
-------
This Amendment (Check only one.): [] is a restatement.
[] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: New Vernon Investment Management LLC
Address: 799 Central Avenue
Suite 350
Highland Park, IL 60035
Form 13F File Number: 28-14174
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 submission.
Persons Signing this Report on Behalf of Reporting Manager:
Name: Steven Shapiro
Title: Managing Member
Phone: 847-926-5712
Signature, Place, and Date of Signing:
/s/ Steven Shapiro Highland Park, IL 2/14/2012
--------------------------------- --------------------------------- ----------
[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 holdings 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:
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 52
Form 13F Information Table Value Total: $ 130,350
--------------
(In Thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
No. Form 13F File Number Name
01 28-14173 New Vernon Capital Holdings II LLC
---- -------------------- ----------------------------------------------------
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
---------------------------- -------------- --------- -------- ------------------ ---------- -------- ---------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ----
ALLIED WRLD ASSUR COM HLDG A SHS H01531104 1,573 25,000 SH DEFINED 01 25,000 0 0
ALLSTATE CORP COM 020002101 932 34,000 SH DEFINED 01 34,000 0 0
ALPHA NATURAL RESOURCES INC COM 02076X102 2,145 105,000 SH DEFINED 01 105,000 0 0
AMERICAN AXLE & MFG HLDGS IN COM 024061103 3,956 400,000 CALL DEFINED 01 400,000 0 0
ASPEN INSURANCE HOLDINGS LTD SHS G05384105 3,173 119,750 SH DEFINED 01 119,750 0 0
BANK OF AMERICA CORPORATION COM 060505104 1,668 300,000 CALL DEFINED 01 300,000 0 0
BITAUTO HLDGS LTD SPONSORED ADS 091727107 3,212 802,910 SH DEFINED 01 802,910 0 0
BITSTREAM INC CL A 091736108 6,529 1,135,462 SH DEFINED 01 1,135,462 0 0
C&J ENERGY SVCS INC COM 12467B304 5,369 256,500 SH DEFINED 01 256,500 0 0
CABOT OIL & GAS CORP COM 127097103 1,518 20,000 CALL DEFINED 01 20,000 0 0
CHEVRON CORP NEW COM 166764100 3,884 36,500 SH DEFINED 01 36,500 0 0
CHINAEDU CORP SPONS ADR 16945L107 8,653 1,497,136 SH DEFINED 01 1,497,136 0 0
DRYSHIPS INC SHS Y2109Q101 1,600 800,000 CALL DEFINED 01 800,000 0 0
EASTMAN CHEM CO COM 277432100 1,953 50,000 CALL DEFINED 01 50,000 0 0
EMAGIN CORP COM NEW 29076N206 3,331 900,200 SH DEFINED 01 900,200 0 0
FLOTEK INDS INC DEL COM 343389102 9,736 977,551 SH DEFINED 01 977,551 0 0
HALLIBURTON CO COM 406216101 3,586 103,900 SH DEFINED 01 103,900 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 1,239 76,250 SH DEFINED 01 76,250 0 0
ICICI BK LTD ADR 45104G104 1,744 66,000 SH DEFINED 01 66,000 0 0
INDIA FD INC COM 454089103 476 25,000 SH DEFINED 01 25,000 0 0
INERGY L P UNIT LTD PTNR 456615103 611 25,000 SH DEFINED 01 25,000 0 0
ISHARES INC MSCI TAIWAN 464286731 3,005 256,600 SH DEFINED 01 256,600 0 0
ISHARES TR HIGH YLD CORP 464288513 10,978 122,750 SH DEFINED 01 122,750 0 0
JOY GLOBAL INC COM 481165108 750 10,000 SH DEFINED 01 10,000 0 0
LULULEMON ATHLETICA INC COM 550021109 467 10,000 SH DEFINED 01 10,000 0 0
METLIFE INC COM 59156R108 1,715 55,000 SH DEFINED 01 55,000 0 0
MORGAN STANLEY INDIA INVS FD COM 61745C105 462 33,000 SH DEFINED 01 33,000 0 0
NETSUITE INC COM 64118Q107 2,028 50,000 CALL DEFINED 01 50,000 0 0
NEWCASTLE INVT CORP COM 65105M108 850 175,604 SH DEFINED 01 175,604 0 0
NOVA MEASURING INSTRUMENTS L COM M7516K103 4,514 612,432 SH DEFINED 01 612,432 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 4,029 43,000 SH DEFINED 01 43,000 0 0
PARTNERRE LTD COM G6852T105 926 14,425 SH DEFINED 01 14,425 0 0
PATRIOT COAL CORP COM 70336T104 1,863 220,000 SH DEFINED 01 220,000 0 0
PEABODY ENERGY CORP COM 704549104 877 26,500 SH DEFINED 01 26,500 0 0
PLATINUM UNDERWRITER HLDGS L COM G7127P100 4,402 129,050 SH DEFINED 01 129,050 0 0
POLARIS INDS INC COM 731068102 1,679 30,000 CALL DEFINED 01 30,000 0 0
PRUDENTIAL FINL INC COM 744320102 1,734 34,600 SH DEFINED 01 34,600 0 0
RED LION HOTELS CORP COM 756764106 2,334 336,758 SH DEFINED 01 336,758 0 0
SALESFORCE COM INC COM 79466L302 2,029 20,000 CALL DEFINED 01 20,000 0 0
SCHLUMBERGER LTD COM 806857108 2,452 35,900 SH DEFINED 01 35,900 0 0
STRATEGIC HOTELS & RESORTS I COM 86272T106 60 11,200 SH DEFINED 01 11,200 0 0
TEXAS ROADHOUSE INC COM 882681109 15 1,000 SH DEFINED 01 1,000 0 0
TIM PARTICIPACOES S A SPONS ADR 88706P205 955 37,000 SH DEFINED 01 37,000 0 0
TITAN INTL INC ILL COM 88830M102 1,168 60,000 SH DEFINED 01 60,000 0 0
TRAVELERS COMPANIES INC COM 89417E109 2,071 35,000 SH DEFINED 01 35,000 0 0
ULTRAPETROL BAHAMAS LTD COM P94398107 2,315 776,699 SH DEFINED 01 776,699 0 0
VALIDUS HOLDINGS LTD COM SHS G9319H102 2,189 69,500 SH DEFINED 01 69,500 0 0
VELTI PLC ST HELIER SHS G93285107 488 71,800 CALL DEFINED 01 71,800 0 0
VIMICRO INTL CORP ADR 92718N109 1,519 1,054,887 SH DEFINED 01 1,054,887 0 0
VISHAY INTERTECHNOLOGY INC COM 928298108 2,697 300,000 CALL DEFINED 01 300,000 0 0
WALTER ENERGY INC COM 93317Q105 1,211 20,000 SH DEFINED 01 20,000 0 0
XL GROUP PLC SHS G98290102 1,680 85,000 SH DEFINED 01 85,000 0 0