|
⚲
|
| Keyboard |
| Vicis Capital LLC
✚
|
|
|---|---|
| CRD # | 137812 |
| SEC # | 801-65023 |
| CIK # | 0001341950 |
| AUM | |
| Employees | |
| Phone | 212-909-4600 |
| Address | 126 E 56th Street New York, NY 10022 |
| Source | [IAPD] [EDGAR] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | Vicis Capital Fund | 2012-03-21 | 64.0 M | |
| HF | Vicis Capital Fund International | [2012-03-21] | 614.1 M | 319.0 M |
| Filed 2009-03-26 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $50,000 · Remaining Indefinite · Duration More than one year · Finder's Fee $3,528,072 · Net Assets Decline to Disclose | ||||
| HF | Vicis Capital Master Fund | 2012-03-21 | 383.0 M | |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 3 | 0.6 |
| By Discretionary | ||
| Discretionary | 3 | 0.6 |
| Non-Discretionary | 0 | 0.0 |
| Total | 3 | 0.6 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 0.6 | |
| Total | 3 | 0.6 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Shad Stastney | Promoter | 12 | 2 | |
| Sky Lucas | Promoter | 9 | 2 | |
| John Succo | Promoter | 8 | 2 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001341950] | |
| 4 | [0001341950] | |
| 5 | [0001341950] | |
| SC 13D | [0001341950] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Vicis Capital LLC | Glowpoint Inc | [2013-05-02] |
| Vicis Capital LLC | Optimizerx Corp | [2012-01-24] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.1B |
| Serves | Institutional |
| Fund Types | Hedge Fund |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Deer Valley Corp DVLY
Common Stock, $0.001 par value per share
|
2014-10-06 | Sell | 12,310,458 | $0.29 | 3,570,033 |
|
Net Talkcom Inc NTLK
Common Stock
|
2014-01-16 | Sell | 19,995,092 | ||
|
Net Talkcom Inc NTLK
Series D Warrant to purchase Common Stock · derivative
|
2014-01-16 | Sell | 28,800,000 | ||
|
Net Talkcom Inc NTLK
Series A Convertible Preferred Stock · derivative
|
2014-01-16 | Sell | 500 | ||
|
Net Talkcom Inc NTLK
Series E Warrant to purchase Common Stock · derivative
|
2014-01-16 | Sell | 8,000,000 | ||
|
Net Talkcom Inc NTLK
Series E Warrant to purchase Common Stock · derivative
|
2014-01-16 | Sell | 10,000,000 | ||
|
Net Talkcom Inc NTLK
Series D Warrant to purchase Common Stock · derivative
|
2014-01-16 | Sell | 8,000,000 | ||
|
Net Talkcom Inc NTLK
Series E Warrant to purchase Common Stock · derivative
|
2014-01-16 | Sell | 22,064,250 | ||
|
Glowpoint Inc GLOW
Common Stock
|
2013-08-09 | Sell | 8,942,805 | ||
|
Glowpoint Inc GLOW
Series B-1 Preferred Stock
|
2013-08-09 | Sell | 95 | ||
|
Ambient Corp /NY AMBT
Common Stock
|
2013-08-09 | Sell | 1,200,000 | $1.50 | 1,800,000 |
|
Ambient Corp /NY AMBT
Common Stock
|
2013-08-09 | Sell | 400,000 | $1.10 | 440,000 |
|
Ambient Corp /NY AMBT
Common Stock
|
2013-07-31 | Sell | 1,600,000 | $1.50 | 2,400,000 |
|
Infusion Brands International Inc INBI.PK
Common Stock
|
2013-07-15 | Other | 440,000,000 | ||
|
Deer Valley Corp DVLY
Call Options (obligations to sell) · derivative
|
2013-06-01 | E | 1 | $0.00 | |
|
Glowpoint Inc GLOW
Series B-1 Preferred Stock
|
2013-04-17 | Sell | 4 | $5,000.00 | 20,000 |
|
Glowpoint Inc GLOW
Common Stock
|
2013-04-16 | Sell | 285,047 | $1.00 | 285,047 |
|
Glowpoint Inc GLOW
Common Stock
|
2013-04-02 | Sell | 1,499 | $1.42 | 2,129 |
|
Fitlife Brands Inc BNLB
Common Stock
|
2012-12-28 | Sell | 12,606,779 | $0.01 | 126,068 |
|
Fitlife Brands Inc BNLB
10% Cumulative Perpetual Series B Preferred Stock
|
2012-11-06 | Sell | 79 | ||
| showing 20 of 66 most recent transactions | |||||