0001140361-12-014794.txt : 20120312
0001140361-12-014794.hdr.sgml : 20120310
20120312115246
ACCESSION NUMBER: 0001140361-12-014794
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20101231
FILED AS OF DATE: 20120312
DATE AS OF CHANGE: 20120312
EFFECTIVENESS DATE: 20120312
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14174
FILM NUMBER: 12682959
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/A
1
form13fhra.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: 12/31/2010
Check here if Amendment [X]; Amendment Number: 2
-------
This Amendment (Check only one.): [] is a restatement.
[X] 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/ Steve Shapiro Highland Park, IL 3/12/2012
--------------------------------- --------------------------------- ----------
[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: 21
Form 13F Information Table Value Total: $ 85,183
--------------
(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
---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----
ACME PACKET INC COM 004764106 5,316 100,000 PUT DEFINED 01 100,000 0 0
ALPHA NATURAL RESOURCES INC COM 02076X102 4,202 70,000 PUT DEFINED 01 70,000 0 0
ARROW ELECTRS INC COM 042735100 1,247 36,400 CALL DEFINED 01 36,400 0 0
ARUBA NETWORKS INC COM 043176106 2,088 100,000 PUT DEFINED 01 100,000 0 0
CONSTANT CONTACT INC COM 210313102 3,099 100,000 PUT DEFINED 01 100,000 0 0
DEVON ENERGY CORP NEW COM 25179M103 11,777 150,000 PUT DEFINED 01 150,000 0 0
DILLARDS INC CL A 254067101 1,897 50,000 PUT DEFINED 01 50,000 0 0
DRYSHIPS INC SHS Y2109Q101 1,647 300,000 CALL DEFINED 01 300,000 0 0
EMULEX CORP COM NEW 292475209 6,996 600,000 CALL DEFINED 01 600,000 0 0
HERCULES OFFSHORE INC COM 427093109 348 100,000 CALL DEFINED 01 100,000 0 0
LSI CORPORATION COM 502161102 1,797 300,000 CALL DEFINED 01 300,000 0 0
NETFLIX INC COM 64110L106 5,271 30,000 CALL DEFINED 01 30,000 0 0
NORTHERN OIL & GAS INC NEV COM 665531109 5,442 200,000 PUT DEFINED 01 200,000 0 0
NOVAGOLD RES INC COM NEW 66987E206 1,427 100,000 PUT DEFINED 01 100,000 0 0
OPENTABLE INC COM 68372A104 3,524 50,000 PUT DEFINED 01 50,000 0 0
SANDISK CORP COM 80004C101 4,986 100,000 CALL DEFINED 01 100,000 0 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 14,355 900,000 PUT DEFINED 01 900,000 0 0
SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 7,053 280,000 PUT DEFINED 01 280,000 0 0
SIMPSON MANUFACTURING CO INC COM 829073105 1,391 45,000 PUT DEFINED 01 45,000 0 0
SYNOVUS FINL CORP COM 87161C105 394 149,100 CALL DEFINED 01 149,100 0 0
WESTPORT INNOVATIONS INC COM NEW 960908309 926 50,000 CALL DEFINED 01 50,000 0 0