FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/10/2010 |
3. Issuer Name and Ticker or Trading Symbol
COMMUNICATION INTELLIGENCE CORP [ CICI ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4,642,137(1) | D | |
Common Stock | 1,171,617(2) | D | |
Common Stock | 175,420(3) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A-1 Preferred Stock(1) | (4) | (4) | Common Stock | 34,121 | $0.14 | D | |
Series A-1 Preferred Stock(2) | (4) | (4) | Common Stock | 2,789,207 | $0.14 | D | |
Series A-1 Preferred Stock(3) | (4) | (4) | Common Stock | 1,230,521 | $0.14 | D | |
Series B Preferred Stock(1) | (5) | (5) | Common Stock | 15,295,717 | $0.06 | D | |
Series B Preferred Stock(2) | (5) | (5) | Common Stock | 1,860,033 | $0.06 | D | |
Series B Preferred Stock(3) | (5) | (5) | Common Stock | 5,182,483 | $0.06 | D | |
Common Stock Warrants (right to buy)(2) | 06/30/2009 | 06/30/2012 | Common Stock | 12,055 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 06/30/2009 | 06/30/2012 | Common Stock | 6,027 | $0.06 | D | |
Common Stock Warrants (right to buy)(1) | 09/30/2009 | 09/30/2012 | Common Stock | 200,973 | $0.06 | D | |
Common Stock Warrants (right to buy)(2) | 09/30/2009 | 09/30/2012 | Common Stock | 33,850 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 09/30/2009 | 09/30/2012 | Common Stock | 16,925 | $0.06 | D | |
Common Stock Warrants (right to buy)(1) | 12/31/2009 | 12/31/2012 | Common Stock | 205,026 | $0.06 | D | |
Common Stock Warrants (right to buy)(2) | 12/31/2009 | 12/31/2012 | Common Stock | 34,533 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 12/31/2009 | 12/31/2012 | Common Stock | 17,266 | $0.06 | D | |
Common Stock Warrants (right to buy)(1) | 03/31/2010 | 03/31/2013 | Common Stock | 204,613 | $0.06 | D | |
Common Stock Warrants (right to buy)(2) | 03/31/2010 | 03/31/2013 | Common Stock | 34,463 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 03/31/2010 | 03/31/2013 | Common Stock | 17,232 | $0.06 | D | |
Common Stock Warrants (right to buy)(1) | 05/04/2010 | 05/04/2013 | Common Stock | 260,417 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 05/04/2010 | 05/04/2013 | Common Stock | 260,417 | $0.06 | D | |
Common Stock Warrants (right to buy)(1) | 05/19/2010 | 05/19/2013 | Common Stock | 260,417 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 05/19/2010 | 05/19/2013 | Common Stock | 260,417 | $0.06 | D | |
Common Stock Warrants (right to buy)(1) | 06/03/2010 | 06/03/2013 | Common Stock | 260,417 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 06/03/2010 | 06/03/2013 | Common Stock | 260,417 | $0.06 | D | |
Common Stock Warrants (right to buy)(1) | 06/30/2010 | 06/30/2013 | Common Stock | 1,103,575 | $0.06 | D | |
Common Stock Warrants (right to buy)(2) | 06/30/2010 | 06/30/2013 | Common Stock | 35,534 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 06/30/2010 | 06/30/2013 | Common Stock | 892,608 | $0.06 | D | |
Common Stock Warrants (right to buy)(3) | 06/30/2010 | 06/30/2013 | Common Stock | 17,767 | $0.06 | D |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. These securities are owned solely by Michael W. Engmann, who is a member of a "group" with Kendu Partners and MDNH Partners, a California limited partnership for purposes of Section 13(d) of the Exchange Act. |
2. These securities are owned solely by Kendu Partners, which is a member of a "group" with Michael W. Engmann and MDNH Partners, a California limited partnership for purposes of Section 13(d) of the Exchange Act. |
3. These securities are owned solely by MDNH Partners, a California limited partnership, which is a member of a "group" with Michael W. Engmann and Kendu Partners for purposes of Section 13(d) of the Exchange Act. |
4. Each share of Series A-1 Preferred Stock is convertible at any time at a conversion price of $0.14 per share, subject to adjustments for stock dividends, splits, combinations and similar events. |
5. Each share of Series B Preferred Stock is convertible at any time at a conversion price of $0.06 per share, subject to adjustments for stock dividends, splits, combinations and similar events. |
/s/ Michael W. Engmann | 01/19/2011 | |
/s/ Michael W. Engmann, General Partner, Kendu Partners | 01/19/2011 | |
/s/ Phillip E. Handin, MDNH Partners, a California limited partnership, By: MDNH Trading Corp., Its: General Partner, By: Phillip E. Handin, Its: Secretary | 01/19/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |