X0303 4/A 2010-06-30 2010-07-02 0 0001206133 COMPLIANCE SYSTEMS CORP COPI 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 1500000 0.01 A 2010-06-30 2015-06-30 Common Stock 1500000 1500000 D Common Stock Purchase Warrants 0.01 2010-06-30 4 J 0 2250000 0.01 A 2010-06-30 2015-06-30 Common Stock 2250000 2250000 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 Series B Subordinated Convertible Voting Preferred Stock, par value $0.01 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 Common Stock Purchase 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 original Form 4 indicated that the Reporting Person was issued Common Stock Purchase Warrants to purchase 600,000 shares of Common Stock of the Issuer. This Form 4/A is being filed to reflect the correct number of shares of Common Stock underlying such Common Stock Purchase Warrants. This exercise price may be subject to future adjustment resulting from future dilutive issuances by the Issuer and/or the future termination and/or expiration of other outstanding securities of the Issuer. The Reporting Person is the holder of 750,000 shares of Series B Subordinated Convertible Voting Preferred Stock, par value $0.01 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 Common Stock Purchase 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 original Form 4 indicated that the Reporting Person was issued Common Stock Purchase Warrants to purchase 900,000 shares of Common Stock of the Issuer. This Form 4/A is being filed to reflect the correct number of shares of Common Stock underlying such Common Stock Purchase Warrants. Barry M. Brookstein 2010-07-14