-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BsWnBklvy5BBK7vPcAl4ICpeweVDlL32zWjUrsui7DTAMtJq4cDTGuPQDKXmdCeN lAKHGfOwbMYLENYYKqS7kQ== 0001104659-09-061261.txt : 20091029 0001104659-09-061261.hdr.sgml : 20091029 20091029194333 ACCESSION NUMBER: 0001104659-09-061261 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091027 FILED AS OF DATE: 20091029 DATE AS OF CHANGE: 20091029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SASSOWER PHILIP S CENTRAL INDEX KEY: 0000908269 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19301 FILM NUMBER: 091145774 MAIL ADDRESS: STREET 1: 135 EAST 57TH ST STREET 2: 12TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goren Andrea CENTRAL INDEX KEY: 0001348894 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19301 FILM NUMBER: 091145773 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 1901 CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: COMMUNICATION INTELLIGENCE CORP CENTRAL INDEX KEY: 0000727634 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 942790442 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 275 SHORELINE DR STREET 2: STE 500 CITY: REDWOOD SHORES STATE: CA ZIP: 94065 BUSINESS PHONE: 6508027888 MAIL ADDRESS: STREET 1: 275 SHORELINE DR STREET 2: STE 500 CITY: REDWOOD SHORES STATE: CA ZIP: 94065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SG PHOENIX VENTURES LLC CENTRAL INDEX KEY: 0001348895 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19301 FILM NUMBER: 091145775 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 1901 CITY: NEW YORK CITY STATE: NY ZIP: 10022 BUSINESS PHONE: 2127591909 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 1901 CITY: NEW YORK CITY STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Phoenix Venture Fund LLC CENTRAL INDEX KEY: 0001403122 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19301 FILM NUMBER: 091145776 BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 759-1909 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 4 1 a4.xml 4 X0303 4 2009-10-27 0 0000727634 COMMUNICATION INTELLIGENCE CORP CICI.OB 0001403122 Phoenix Venture Fund LLC 110 EAST 59TH STREET, SUITE 1901 NEW YORK NY 10022 0 0 1 0 0001348895 SG PHOENIX VENTURES LLC 110 EAST 59TH STREET, SUITE 1901 NEW YORK NY 10022 0 0 1 0 0000908269 SASSOWER PHILIP S 110 EAST 59TH STREET, SUITE 1901 NEW YORK NY 10022 0 0 1 0 0001348894 Goren Andrea 110 EAST 59TH STREET, SUITE 1901 NEW YORK NY 10022 0 0 1 0 Common Stock 2009-10-27 4 X 0 42774723 0.06 A 64284723 D Warrant (right to buy) 0.06 2009-10-27 4 X 0 60474609 0 D 2009-05-08 2012-06-30 Common Stock 60474609 0 D Phoenix Venture Fund LLC (the "Fund") exercised 56,528,692 warrants to purchase common stock of Communication Intelligence Corp. (the "Issuer") in a cashless exercise transaction that resulted in the Fund receiving 39,982,294 shares of Issuer common stock. In addition, SG Phoenix LLC, an affiliated entity ("SG Phoenix"), exercised 3,947,917 warrants to purchase Issuer common stock in a cashless exercise transaction that resulted in SG Phoenix receiving 2,792,429 shares of Issuer common stock. The common stock acquired and reported on this form may be deemed to be indirectly beneficially owned by SG Phoenix Ventures LLC ("SGPV"), the managing member of the Fund, and Philip S. Sassower and Andrea Goren, the co-managers of SGPV and the members of SG Phoenix. The Fund, SG Phoenix, SGPV, Mr. Sassower and Mr. Goren may be deemed to be a "group," as such term is defined in Rule 13d-5(b)(1) promulgated under the Securities Exchange Act of 1934, for purposes of this filing. This filing shall not be deemed as an admission by any such person that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this statement. Each such person disclaims beneficial ownership of the reported securities except to the extent of such person's pecuniary interest, if any, therein. Includes 10,000 shares of Issuer common stock owned directly by Mr. Goren individually. Phoenix Venture Fund LLC By: SG Phoenix Ventures LLC, its Managing Member By: /s/ Andrea Goren, Manager 2009-10-29 SG Phoenix Ventures LLC By: /s/ Andrea Goren, Manager 2009-10-29 /s/ Philip S. Sassower 2009-10-29 /s/ Andrea Goren 2009-10-29 -----END PRIVACY-ENHANCED MESSAGE-----