-----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, WfJN3IJFLk6ly4Zof1e5r7Tubd9wlzq//QGLOFn9+irvSoiLv/QCOI+gnC4a66xQ Pcfbe75lenUke7Ha4z0JRg== 0001005477-07-002512.txt : 20070413 0001005477-07-002512.hdr.sgml : 20070413 20070413151851 ACCESSION NUMBER: 0001005477-07-002512 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070104 FILED AS OF DATE: 20070413 DATE AS OF CHANGE: 20070413 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GALLEN JONATHAN CENTRAL INDEX KEY: 0001069726 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-26392 FILM NUMBER: 07765752 BUSINESS ADDRESS: BUSINESS PHONE: 2128912132 MAIL ADDRESS: STREET 1: 450 PARK AVENUE STREET 2: 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CICERO INC CENTRAL INDEX KEY: 0000945384 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 112920559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1206 BUSINESS ADDRESS: STREET 1: 8000 REGENCY PARKWAY STREET 2: SUITE 542 CITY: CARY STATE: NC ZIP: 27518 BUSINESS PHONE: 9194612574 MAIL ADDRESS: STREET 1: 8000 REGENCY PARKWAY STREET 2: SUITE 542 CITY: CARY STATE: NC ZIP: 27518 FORMER COMPANY: FORMER CONFORMED NAME: LEVEL 8 SYSTEMS INC DATE OF NAME CHANGE: 19990112 FORMER COMPANY: FORMER CONFORMED NAME: ACROSS DATA SYSTEMS INC DATE OF NAME CHANGE: 19950517 3/A 1 edgar123.xml AMENDMENT TO FORM 3 X0202 3/A 2007-01-04 2007-02-05 0 0000945384 CICERO INC CICN 0001069726 GALLEN JONATHAN 299 PARK AVENUE NEW YORK NY 10171 0 0 1 0 Common Stock, par value $0.001 per share 6032934 I By partnership and corporation Series A-1 Convertible Preferred Stock Common Stock, par value $0.001 per share 14836 I By partnership and corporation Warrant (right to buy) 37.00 2007-01-09 Common Stock, par value $0.001 per share 901 I By partnership and corporation Warrant (right to buy) 38.00 2007-08-14 Common Stock, par value $0.001 per share 383 I By partnership and corporation Warrant (right to buy) 40.00 2008-10-08 Common Stock, par value $0.001 per share 4914 I By partnership and corporation Warrant (right to buy) 2.00 2011-01-04 Common Stock, par value $0.001 per share 14336 I By partnership and corporation This Form 3 amends the Form 3 originally filed with the Securities and Exchange Commission on February 5, 2007. The original filing inadvertently understated the number of shares of common stock, par value $0.001 per share (the "Shares") of Cicero, Inc. (the "Company") held by the reporting person. As of January 4, 2007, Queequeg Partners, L.P. ("Partners"), Queequeg, Ltd. ("Limited," and collectively with Partners, the "Funds") held in the aggregate (i) 6,032,934 Shares, (ii) 14.836 Shares of the Series A-1 Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred"), (iii) warrants to acquire 901 Shares at $37 per share, which warrants expire on January 9, 2007, (iv) warrants to acquire 383 Shares at $38 per share, which warrants expire on August 14, 2007, (v) warrants to acquire 4,914 Shares at $40 per share, which warrants expire on October 8, 2008 and (vi) warrants to acquire 14,336 Shares at $2 per share, which warrants expire on January 4, 2011. Jonathan Gallen possesses sole power to vote and direct the disposition of all securities of the Company held by the Funds. Accordingly, for the purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Mr. Gallen may be deemed to beneficially own 6,068,304 Shares. Jonathan Gallen's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Funds, if any. The Convertible Preferred is convertible at a rate of one thousand (1,000) Shares for each share of Convertible Preferred, subject to adjustment per the Certificate of Designations, Preferences and Rights of the Convertible Preferred. Immediately None /s/ Jonathan Gallen 2007-04-13 -----END PRIVACY-ENHANCED MESSAGE-----