0001140361-13-018852.txt : 20130506
0001140361-13-018852.hdr.sgml : 20130506
20130506133627
ACCESSION NUMBER: 0001140361-13-018852
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130506
DATE AS OF CHANGE: 20130506
EFFECTIVENESS DATE: 20130506
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: 13815360
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: 3/31/2013
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 5/6/2013
--------------------------------- --------------------------------- ----------
[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: 38
Form 13F Information Table Value Total: $ 98,512
--------------
(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 1,196 12,900 SH DEFINED 01 12,900 0 0
AMERICAN AXLE & MFG HLDGS IN COM 24061103 3,508 257,000 SH DEFINED 01 257,000 0 0
AMERICAN FINL GROUP INC OHIO COM 025932104 4,186 88,350 SH DEFINED 01 88,350 0 0
ANIXTER INTL INC COM 035290105 3,042 43,500 SH DEFINED 01 43,500 0 0
ASPEN INSURANCE HOLDINGS LTD SHS G05384105 4,855 125,840 SH DEFINED 01 125,840 0 0
BGC PARTNERS INC CL A 05541T101 832 200,000 SH DEFINED 01 200,000 0 0
BITAUTO HLDGS LTD SPONSORED ADS 091727107 5,710 576,780 SH DEFINED 01 576,780 0 0
BLUEPHOENIX SOLUTIONS LTD SHS NEW M20157117 1,553 357,843 SH DEFINED 01 357,843 0 0
CITIGROUP INC COM NEW 172967424 1,947 44,000 SH DEFINED 01 44,000 0 0
DANA HLDG CORP COM 235825205 1,605 90,000 SH DEFINED 01 90,000 0 0
EMAGIN CORP COM NEW 29076N206 1,885 549,513 SH DEFINED 01 549,513 0 0
ENDURANCE SPECIALTY HLDGS LT SHS G30397106 1,912 40,000 SH DEFINED 01 40,000 0 0
ENSCO PLC SHS CLASS A G3157S106 1,326 22,100 SH DEFINED 01 22,100 0 0
FLOTEK INDS INC DEL COM 343389102 11,437 699,500 SH DEFINED 01 699,500 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 2,060 14,000 SH DEFINED 01 14,000 0 0
HALLIBURTON CO COM 406216101 1,616 40,000 SH DEFINED 01 40,000 0 0
HANOVER INS GROUP INC COM 410867105 1,490 30,000 SH DEFINED 01 30,000 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 516 20,000 CALL DEFINED 01 20,000 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 1,580 61,250 SH DEFINED 01 61,250 0 0
HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 1,892 101,450 SH DEFINED 01 101,450 0 0
ICICI BK LTD ADR 45104G104 2,831 66,000 SH DEFINED 01 66,000 0 0
ISHARES TR HIGH YLD CORP 464288513 7,289 77,250 SH DEFINED 01 77,250 0 0
JPMORGAN CHASE & CO COM 46625H100 1,898 40,000 SH DEFINED 01 40,000 0 0
LEHIGH GAS PARTNERS LP UT LTD PTN INT 524814100 1,897 83,000 SH DEFINED 01 83,000 0 0
MEAD JOHNSON NUTRITION CO COM 582839106 3,112 40,000 SH DEFINED 01 40,000 0 0
METLIFE INC COM 59156R108 3,170 83,375 SH DEFINED 01 83,375 0 0
MORGAN STANLEY COM NEW 617446448 3,429 156,000 SH DEFINED 01 156,000 0 0
NOVA MEASURING INSTRUMENTS L COM M7516K103 2,554 283,782 SH DEFINED 01 283,782 0 0
NUVEEN FLOATING RATE INCOME COM 67072T108 1,347 102,250 SH DEFINED 01 102,250 0 0
NUVEEN SHT DUR CR OPP FD COM 67074X107 1,236 59,200 SH DEFINED 01 59,200 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 1,332 17,000 SH DEFINED 01 17,000 0 0
PLATINUM UNDERWRITER HLDGS L COM G7127P100 2,791 50,000 SH DEFINED 01 50,000 0 0
POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 2,899 115,500 SH DEFINED 01 115,500 0 0
RENTECH NITROGEN PARTNERS L COM UNIT 760113100 1,794 50,000 SH DEFINED 01 50,000 0 0
RPX CORP COM 74972G103 1,411 100,000 SH DEFINED 01 100,000 0 0
VALIDUS HOLDINGS LTD COM SHS G9319H102 1,028 27,500 SH DEFINED 01 27,500 0 0
WABASH NATL CORP COM 929566107 762 75,000 SH DEFINED 01 75,000 0 0
XL GROUP PLC SHS G98290102 3,584 118,300 SH DEFINED 01 118,300 0 0