CSSV / Caspian Services, Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

Caspian Services FORM 15

form15.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12 (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES ACT OF 1934. Commission File Number 000-33215 CASPIAN SERVICES, INC. (Exact name of registrant as specified i

CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

ex3102q063016.htm EXHIBIT 31.02 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Indira Kaliyeva, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of Caspian Services, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the

CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

ex3101q063016.htm EXHIBIT 31.01 CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Alexey Kotov, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of Caspian Services, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the sta

Caspian Services FORM 10-Q ENDED JUNE 30, 2016 (Quarterly Report)

q063016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-33215 CASPIAN SER

Caspian Services FORM 10-Q ENDED JUNE 30, 2016 (Quarterly Report)

q063016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2016 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-33215 CASPIAN SER

CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

ex3102q063016.htm EXHIBIT 31.02 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Indira Kaliyeva, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of Caspian Services, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the

CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

ex3201q063016.htm EXHIBIT 32.01 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with this Quarterly Report of Caspian Services, Inc. (the ?Company?) on Form 10-Q for the periods ended June 30, 2016, as filed with the Securities and Exchange Commission on the date hereof (the "Report"), the undersigned Alexey Kotov

CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

ex3201q063016.htm EXHIBIT 32.01 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with this Quarterly Report of Caspian Services, Inc. (the ?Company?) on Form 10-Q for the periods ended June 30, 2016, as filed with the Securities and Exchange Commission on the date hereof (the "Report"), the undersigned Alexey Kotov

ADDENDUM # 2 EMPLOYMENT AGREEMENT OF ALEXEY KOTOV

ex1001form8k080416.htm Exhibit 10.01 ADDENDUM # 2 EMPLOYMENT AGREEMENT OF ALEXEY KOTOV This Addendum # 2, dated August 4, 2016 is entered between CASPIAN SERVICES, INC., a Nevada corporation (the ?Employer?), and Mr. ALEXEY KOTOV, an individual residing in Salt Lake City, Utah (?Executive?), referred to as the parties or party. WHEREAS: The Parties have entered into Employment Agreement, Effective

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

form8k080416.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 4, 2016 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation

THIRD AMENDMENT TO THE CASPIAN SERVICES INC SECURED CONVERTIBLE CONSOLIDATED PROMISSORY NOTE

EX-10.02 3 ex1002form8k072716.htm THIRD AMENDMENT TO THE CASPIAN SERVICES, INC. SECURED CONVERTIBLE CONSOLIDATED PROMISSORY NOTE, DATED JULY 27, 2016, BETWEEN CASPIAN SERVICES, INC. AND BAKHYTBEK BAISEITOV THIRD AMENDMENT TO THE CASPIAN SERVICES INC SECURED CONVERTIBLE CONSOLIDATED PROMISSORY NOTE EXHIBIT 10.02 ТРЕТЬЯ ПОПРАВКА К ОБЕСПЕЧЕННОМУ КОРПОРАЦИЕЙ «CASPIAN SERVICES» КОНВЕРТИРУЕМОМУ КОНСОЛИД

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 form8k072716.htm FORM 8-K DATED JULY 27, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 27, 2016 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or o

THIRD AMENDMENT TO THE CASPIAN SERVICES INC. SECURED NON-NEGOTIABLE PROMISSORY NOTE

ex1001form8k072716.htm EXHIBIT 10.01 THIRD AMENDMENT TO THE CASPIAN SERVICES INC. SECURED NON-NEGOTIABLE PROMISSORY NOTE ?????? ???????? ? ????????????? ??????????? ?CASPIAN SERVICES? ???????????? ????????? ????????????? This Third Amendment to the Caspian Services, Inc. Secured Non-Negotiable Promissory Note (this ?Amendment Agreement No. 3?) dated July 27, 2016, is made between Caspian Services,

Caspian Services FORM 10-Q ENDED MARCH 31, 2016 (Quarterly Report)

q033116.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2016 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-33215 CASPIAN SE

Caspian Services EXTENSION FOR FILING FORM 10-Q ENDED MARCH 31, 2016

ntq033116.htm UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: October 31, 2018 Washington, D.C. 20549 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER 000-33215 NOTIFICATION OF LATE FILING CUSIP NUMBER 14766Q 107 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ende

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

form8k032816.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 28, 2016 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation

Alexey Kotov,

EX-17.1 2 ex171form8k032816.htm RESIGNATION LETTER OF JEFFREY BRIMHALL DATED MARCH 28, 2016 EXHIBIT 17.1 Alexey Kotov, Please accept this letter as my official resignation as director of Caspian Services, Inc. I have enjoyed working with you and other members of the board and wish the company the best going forward. Sincerely, /s/ Jeffrey R. Brimhall Jeffrey R. Brimhall March 28, 2016

Caspian Services FORM 10-Q ENDED DECEMBER 31, 2015 (Quarterly Report)

q123115.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2015 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-33215 CASPIAN

Caspian Services EXTENSION FOR FILING 10-Q ENDED DECEMBER 31, 2015

ntq123115.htm UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: October 31, 2018 Washington, D.C. 20549 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER 000-33215 NOTIFICATION OF LATE FILING CUSIP NUMBER 14766Q 107 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ende

MASTER FINANCIAL ASSISTANCE REPAYMENT AGREEMENT

EX-10.32 2 ex1032k093015.htm MASTER FINANCIAL ASSISTANCE REPAYMENT AGREEMENT, DATED JANUARY 11, 2016, BETWEEN CASPIAN GEO-CONSULTING SERVIES, LLP AND CASPIAN SERVICES, INC. Exhibit 10.32 MASTER FINANCIAL ASSISTANCE REPAYMENT AGREEMENT РАМОЧНОЕ СОГЛАШЕНИЕ О ВОЗВРАТЕ ФИНАНСОВОЙ ПОМОЩИ This MASTER FINANCIAL ASSISTANCE REPAYMENT AGREEMENT (“Agreement”) is made as of January 11, 2016, between CASPIAN G

LIST OF SUBISIDIARIES

EX-21.1 3 ex211k093015.htm SUBSIDIARIES EXHIBIT 21.1 LIST OF SUBISIDIARIES Listed below are our subsidiaries, our percentage ownership in each subsidiary and the total number of active subsidiaries directly or indirectly owned by each subsidiary as of September 30, 2015. % Ownership U.S. Non-U.S. Caspian Services Group Limited, BVI 100% 0 1 Caspian Services Group LLP, Kazakhstan(1) Caspian Service

CSSV / Caspian Services, Inc. 10-K - Annual Report - FORM 10-K YEAR ENDED SEPTEMBER 30, 2015

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-33215 CASPIAN SERVICES, INC.

Caspian Services EXTENSION FOR FILING FORM 10-K YEAR ENDED SEPTEMBR 30, 2015

ntk093015.htm UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: October 31, 2018 Washington, D.C. 20549 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER 000-50218 NOTIFICATION OF LATE FILING (Check One): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: September 30, 2015 [

CSSV / Caspian Services, Inc. / FIREBIRD MANAGEMENT LLC - AMENDMENT NO. 8 TO THE SCHEDULE 13D Activist Investment

SC 13D/A 1 d79498dsc13da.htm AMENDMENT NO. 8 TO THE SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* Caspian Services, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 14766Q107 (CUSIP Number) Joanne Tuckman Chief Financial Officer Firebird Management LLC 152

STOCK PURCHASE AGREEMENT

EX-14 2 d79498dex14.htm EX-14 Exhibit 14 STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of November 06, 2015, by and between UFG Russia Alternative Master Account Ltd., an Exempted Company incorporated in the Cayman Islands (“Seller”), Firebird Avrora Fund, Ltd., an Exempted Company incorporated in the Cayman Islands (“Purchaser A”) and Firebird New Russia Fund

Exhibit 16.1

ex161form8k092215.htm Exhibit 16.1 September 24, 2015 U.S. Securities and Exchange Commission Office of the Chief Accountant 100 F Street NE Washington, DC 20549 Re: CASPIAN SERVICES, INC. Ladies and Gentlemen: We have read the statement under item 4.01 in the Form 8-K dated September 22, 2015, of CASPIAN SERVICES, INC. (the "Company") to be filed with the Securities and Exchange Commission and we

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

form8k092215.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 22, 2015 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorpora

CSSV / Caspian Services, Inc. / FIREBIRD MANAGEMENT LLC - AMENDMENT NO. 7 TO THE SCHEDULE 13D Activist Investment

Amendment No. 7 to the Schedule 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Caspian Services, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 14766Q107 (CUSIP Number) Joanne Tuckman Chief Financial Officer Firebird Management LLC 152 West 57th St, 24th Floor New

Caspian Services EXTENSION FOR FILING FORM 10-Q ENDED JUNE 30, 2015

NT 10-Q 1 ntq063015.htm EXTENSION FOR FILING FORM 10-Q ENDED JUNE 30, 2015 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.C. 20549 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER 000-33215 NOTIFICATION OF LATE FILING CUSIP NUMBER 14766Q 107 (Check One): o Form 10-K o Form 20-F o Form 11-K x For

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 30, 2015 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission File

SECOND AMENDMENT TO THE CASPIAN SERVICES INC. SECURED NON-NEGOTIABLE PROMISSORY NOTE

ex101form063015.htm Exhibit 10.1 SECOND AMENDMENT TO THE CASPIAN SERVICES INC. SECURED NON-NEGOTIABLE PROMISSORY NOTE ?????? ???????? ? ????????????? ??????????? ?CASPIAN SERVICES? ???????????? ????????? ????????????? This Second Amendment to the Caspian Services, Inc. Secured Non-Negotiable Promissory Note (this ?Amendment Agreement No. 2?) dated June 30, 2015 is made between Caspian Services, In

SECOND AMENDMENT TO THE CASPIAN SERVICES INC SECURED CONVERTIBLE CONSOLIDATED PROMISSORY NOTE

ex102form8k063015.htm Exhibit 10.2 SECOND AMENDMENT TO THE CASPIAN SERVICES INC SECURED CONVERTIBLE CONSOLIDATED PROMISSORY NOTE ?????? ???????? ? ????????????? ??????????? ?CASPIAN SERVICES? ??????????????? ?????????????????? ????????? ????????????? This Second Amendment to the Caspian Services, Inc. Secured Convertible Consolidated Promissory Note (this ?Amendment Agreement No. 2?) dated June 30

Caspian Services EXTENSION FOR FILING FORM 10-Q ENDED MARCH 31, 2015

ntq033115.htm UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.C. 20549 Estimated average burden hours per response 2.50 FORM 12b-25 SEC FILE NUMBER 000-33215 NOTIFICATION OF LATE FILING CUSIP NUMBER 14766Q 107 (Check One): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended

CSSV / Caspian Services, Inc. NT 10-Q - - EXTENSION FOR FILING FORM 10-Q ENDED DECEMBER 31, 2014

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

CSSV / Caspian Services, Inc. NT 10-K - - EXTENSION FOR FILING FORM 10-K YEAR ENDED SEPTEMBER 30, 2014

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 24, 2014 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorp

FIRST AMENDMENT TO THE CASPIAN SERVICES INC SECURED CONVERTIBLE CONSOLIDATED PROMISSORY NOTE

FIRST AMENDMENT TO THE CASPIAN SERVICES INC SECURED CONVERTIBLE CONSOLIDATED PROMISSORY NOTE ПЕРВАЯ ПОПРАВКА К ОБЕСПЕЧЕННОМУ КОРПОРАЦИЕЙ «CASPIAN SERVICES» КОНВЕРТИРУЕМОМУ КОНСОЛИДИРОВАННОМУ ДОЛГОВОМУ ОБЯЗАТЕЛЬСТВУ This First Amendment to the Caspian Services, Inc.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 form8k092414.htm FORM 8-K DATED SEPTEMBER 24, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 24, 2014 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (

FIRST AMENDMENT TO THE CASPIAN SERVICES INC. SECURED NON-NEGOTIABLE PROMISSORY NOTE

FIRST AMENDMENT TO THE CASPIAN SERVICES INC. SECURED NON-NEGOTIABLE PROMISSORY NOTE ПЕРВАЯ ПОПРАВКА К ОБЕСПЕЧЕННОМУ КОРПОРАЦИЕЙ «CASPIAN SERVICES» НЕОБОРОТНОМУ ДОЛГОВОМУ ОБЯЗАТЕЛЬСТВУ This First Amendment to the Caspian Services, Inc. Secured Non-Negotiable Promissory Note (this “Amendment Agreement No. 1”) dated September 24, 2014 is made between Caspian Services, Inc., a Nevada corporation (the

LOAN AGREEMENT MANGISTAU OBLAST BOAT YARD L.L.P. EUROPEAN BANK FOR RECONSTRUCTION AND DEVELOPMENT Dated 22 August 2008

EXECUTION COPY (Operation Number 38662) LOAN AGREEMENT between MANGISTAU OBLAST BOAT YARD L.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 7, 2014 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission File

- EXTENSION FOR FILING FORM 10-Q ENDED MARCH 31, 2014

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

Caspian Services FORM 10-Q ENDED DECMEBER 31, 2013 (Quarterly Report)

q123113.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended December 31, 2013 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 000-33215 CASPIAN

- EXTENSION FOR FILING FORM 10-Q ENDED DECEMBER 31, 2013

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

Caspian Services FORM 10-K YEAR ENDED SEPTEMBER 30, 2013 (Annual Report)

10-K 1 k093013.htm FORM 10-K YEAR ENDED SEPTEMBER 30, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2013 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Comm

- EXTENSION FOR FILING 10-K YEAR ENDED SEPTEMBER 30, 2013

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

Changes in Registrant's Certifying Accountant - FORM 8-K DATED SEPTEMBER 12, 2013

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 12, 2013 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission

Exhibit 16.1 September 4, 2013 Securities and Exchange Commission 450 5th Street NW Washington, DC 20549 Ladies and Gentlemen: We have read the statements of Caspian Services, Inc., included under Item 4.01 of Form 8-K, with respect to this firm’s re

EX-16.1 2 ex161form8k090113.htm LETTER FROM HANSEN, BARNETT & MAXWELL, P.C. TO THE SECURITIES AND EXCHANGE COMMISSION, DATED SEPTEMBER 4, 2013. Exhibit 16.1 September 4, 2013 Securities and Exchange Commission 450 5th Street NW Washington, DC 20549 Ladies and Gentlemen: We have read the statements of Caspian Services, Inc., included under Item 4.01 of Form 8-K, with respect to this firm’s resignat

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - FORM 8-K DATED SEPTEMBER 1, 2013

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 1, 2013 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission F

- EXTENSION FOR FILING 10-Q ENDED JUNE 30, 2013

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K DATED JULY 30, 2013

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 30, 2013 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission File

ADDENDUM # 1 EMPLOYMENT AGREEMENT OF ALEXEY KOTOV

Exhibit 10.1 ADDENDUM # 1 EMPLOYMENT AGREEMENT OF ALEXEY KOTOV This Addendum # 1, dated July 29, 2013 is entered between CASPIAN SERVICES, INC., a Nevada corporation (the “Employer”), and Mr. ALEXEY KOTOV, an individual residing in Salt Lake City, Utah (“Executive”), referred to as the parties or party. WHEREAS: The Parties have entered into Employment Agreement, Effective Date August 2, 2010 (“Em

Submission of Matters to a Vote of Security Holders - FORM 8-K DATED APRIL 30, 2013

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2013 CASPIAN SERVICES, INC. (Exact name of registrant as specified in its charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission File

- DEFINITIVE PROXY STATEMENT

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as p

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): March 11, 2013 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission File

CASPIAN SERVICES, INC. (as Amended through March 11, 2013) TABLE OF CONTENTS ARTICLE I OFFICE 1 Section 1.1 Registered Office 1 Section 1.1 Other Offices 1 ARTICLE II SHAREHOLDERS' MEETING 1 Section 2.1 Place of Meetings 1 Section 2.2 Annual Meetings

Exhibit 3.1 BYLAWS OF CASPIAN SERVICES, INC. (as Amended through March 11, 2013) TABLE OF CONTENTS ARTICLE I OFFICE 1 Section 1.1 Registered Office 1 Section 1.1 Other Offices 1 ARTICLE II SHAREHOLDERS' MEETING 1 Section 2.1 Place of Meetings 1 Section 2.2 Annual Meetings. 1 Section 2.3 Special Meetings. 1 Section 2.4 Notice of Shareholders' Meetings. 1 Section 2.5 Adjourned Meeting; Notice. 2 Sec

- PRELIMINARY PROXY STATEMENT

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as p

- EXTENSION FOR FILING FORM 10-Q ENDED DECEMBER 31, 2012

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

- EXTENSION FOR FILING FORM 10-K YEAR ENDED SEPTEMBER 30, 2012

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: August 31, 2015 Washington, D.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K DATED JUNE 22, 2012

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 22, 2012 CASPIAN SERVICES, INC. (Exact Name of Registrant as Specified in its Charter) Nevada 000-33215 87-0617371 (State or other jurisdiction of incorporation) Commission File

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UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: May 31, 2012 Washington, D.

- EXTENSION FOR FILING FORM 10-Q ENDED DECEMBER 31, 2011

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Expires: May 31, 2012 Washington, D.