X0303 4 2010-06-30 0 0001206133 COMPLIANCE SYSTEMS CORP COPIE 0001493650 Brookstein Barry M. P.O. BOX 6465 CARMEL CA 93921 1 1 1 0 CFO, Secretary Common Stock Purchase Warrants 0.01 2010-06-30 4 J 0 600000 0.01 A 2010-06-30 2015-06-30 Common Stock 600000 600000 D Common Stock Purchase Warrants 0.01 2010-06-30 4 J 0 900000 0.01 A 2010-06-30 2015-06-30 Common Stock 900000 900000 I Owned by Spirits Management, Inc., a corporation of which the Reporting Person is a principal owner. The Reporting Person is the holder of 500,000 shares of the Series B Senior Subordinated Convertible Voting Preferred Stock, par value $0.001 per share, of the Issuer, upon which the Issuer has accrued $15,000 of dividends due and payable to the Reporting Person for the 3 months ending June 30, 2010. These warrants are being issued to the Reporting Person as consideration for the Issuer's inability to pay such accrued dividends due to state law. The Reporting Person is the holder of 750,000 shares of the Series B Senior Subordinated Convertible Voting Preferred Stock, par value $0.001 per share, of the Issuer, upon which the Issuer has accrued $22,500 of dividends due and payable to the Reporting Person for the 3 months ending June 30, 2010. These warrants are being issued to the Reporting Person as consideration for the Issuer's inability to pay such accrued dividends due to state law. Barry M. Brookstein 2010-07-01