FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
COMMUNICATION INTELLIGENCE CORP [ CICI.OB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/24/2012 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 01/24/2012 | C | 426,899 | A | (5) | 6,977,978(1) | D | |||
Common Stock | 01/24/2012 | C | 124,547 | A | (6) | 7,102,525(1) | D | |||
Common Stock | 01/24/2012 | C | 124,547 | A | (6) | 7,227,072(1) | D | |||
Common Stock | 01/24/2012 | C | 124,547 | A | (6) | 7,351,619(1) | D | |||
Common Stock | 01/24/2012 | C | 100,897 | A | (7) | 7,425,516(1) | D | |||
Common Stock | 01/24/2012 | C | 97,858 | A | (8) | 7,550,374(1) | D | |||
Common Stock | 01/24/2012 | C | 98,056 | A | (9) | 7,648,430(1) | D | |||
Common Stock | 01/24/2012 | C | 96,118 | A | (10) | 7,744,548(1) | D | |||
Common Stock | 01/24/2012 | C | 426,899 | A | (5) | 3,073,846(2) | D | |||
Common Stock | 01/24/2012 | C | 125,547 | A | (6) | 3,199,393(2) | D | |||
Common Stock | 01/24/2012 | C | 124,547 | A | (6) | 3,323,940(2) | D | |||
Common Stock | 01/24/2012 | C | 124,547 | A | (6) | 3,448,487(2) | D | |||
Common Stock | 01/24/2012 | C | 8,497 | A | (11) | 3,456,984(2) | D | |||
Common Stock | 01/24/2012 | C | 8,241 | A | (12) | 3,465,225(2) | D | |||
Common Stock | 01/24/2012 | C | 8,258 | A | (13) | 3,473,488(2) | D | |||
Common Stock | 01/24/2012 | C | 8,095 | A | (14) | 3,481,578(2) | D | |||
Common Stock | 01/24/2012 | C | 2,882 | A | (15) | 3,484,460(2) | D | |||
Common Stock | 01/24/2012 | C | 16,516 | A | (16) | 1,188,133(3) | D | |||
Common Stock | 01/24/2012 | C | 16,189 | A | (17) | 1,204,322(3) | D | |||
Common Stock | 01/24/2012 | C | 16,995 | A | (18) | 1,221,317(3) | D | |||
Common Stock | 01/24/2012 | C | 16,482 | A | (19) | 1,237,799(3) | D | |||
Common Stock | 01/24/2012 | C | 5,765 | A | (20) | 1,243,564(3) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 892,608 | 06/30/2010 | 06/30/2013 | Common Stock | 892,608 | (5) | 0 | D | ||||
Common Stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 260,417 | 06/03/2010 | 06/03/2013 | Common Stock | 260,417 | (6) | 0 | D | ||||
Common Stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 260,417 | 05/19/2010 | 05/19/2013 | Common Stock | 260,417 | (6) | 0 | D | ||||
Common Stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 260,417 | 05/04/2010 | 05/04/2013 | Common Stock | 260,417 | (6) | 0 | D | ||||
Common Stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 210,967 | 06/30/2010 | 06/30/2013 | Common Stock | 210,967 | (7) | 0 | D | ||||
Common Stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 204,613 | 03/31/2010 | 03/31/2013 | Common Stock | 204,613 | (8) | 0 | D | ||||
Common stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 205,026 | 12/31/2010 | 12/31/2013 | Common Stock | 205,026 | (9) | 0 | D | ||||
Common Stock Warrants (right to buy)(1)(4) | $0.06 | 01/24/2012 | C | 200,973 | 09/03/2009 | 09/03/2012 | Common Stock | 200,973 | (10) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 892,608 | 06/30/2010 | 06/30/2013 | Common Stock | 892,608 | (5) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 260,417 | 06/03/2010 | 06/03/2013 | Common Stock | 260,417 | (6) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 260,417 | 05/19/2010 | 05/19/2013 | Common Stock | 260,417 | (6) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 260,417 | 05/04/2010 | 05/04/2013 | Common Stock | 260,417 | (6) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 17,767 | 06/30/2010 | 06/30/2013 | Common Stock | 17,767 | (11) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 17,232 | 03/31/2010 | 03/31/2013 | Common Stock | 17,232 | (12) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 17,266 | 12/31/2009 | 12/31/2012 | Common Stock | 17,266 | (13) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 16,925 | 09/30/2009 | 09/30/2012 | Common Stock | 16,925 | (14) | 0 | D | ||||
Common Stock Warrants (right to buy)(2)(4) | $0.06 | 01/24/2012 | C | 6,027 | 06/30/2009 | 06/30/2012 | Common Stock | 6,027 | (15) | 0 | D | ||||
Common Stock Warrants (right to buy)(3)(4) | $0.06 | 01/24/2012 | C | 34,533 | 12/31/2009 | 12/31/2012 | Common Stock | 34,533 | (16) | 0 | D | ||||
Common Stock Warrants (right to buy)(3)(4) | $0.06 | 01/24/2012 | C | 33,850 | 09/30/2009 | 09/30/2012 | Common Stock | 33,850 | (17) | 0 | D | ||||
Common Stock Warrants (right to buy)(3)(4) | $0.06 | 01/24/2012 | C | 35,354 | 06/30/2010 | 06/30/2013 | Common Stock | 35,354 | (18) | 0 | D | ||||
Common Stock Warrants (right to buy)(3)(4) | $0.06 | 01/24/2012 | C | 34,463 | 03/31/2010 | 03/31/2013 | Common Stock | 34,463 | (19) | 0 | D | ||||
Common Stock Warrants (right to buy)(3)(4) | $0.06 | 01/24/2012 | C | 12,055 | 06/30/2009 | 06/30/2012 | Common Stock | 12,055 | (20) | 0 | D |
Explanation of Responses: |
1. These securities are owned soleley 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 soleley 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. |
3. These securities are owned soleley 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. |
4. Underlying common stock may be acquired by cash-less exercise at a price based in part on the common stock's five-day average closing price. |
5. 465,709 shares paid in cash-less exercise. |
6. 135,870 shares paid in cash-less exercise. |
7. 110,070 shares paid in cash-less exercise. |
8. 106,755 shares paid in cash-less exercise. |
9. 106,970 shares paid in cash-less exercise. |
10. 104,855 shares paid in cash-less exercise. |
11. 9,270 shares paid in cash-less exercise. |
12. 8,991 shares paid in cash-less exercise. |
13. 9,008 shares paid in cash-less exercise. |
14. 8,830 shares paid in cash-less exercise. |
15. 3,145 shares paid in cash-less exercise. |
16. 18,017 shares paid in cash-less exercise. |
17. 17,661 shares paid in cash-less exercise. |
18. 18,539 shares paid in cash-less exercise. |
19. 17,981 shares paid in cash-less exercise. |
20. 3,145 shares paid in cash-less exercise. |
Dave L. Neville, power of attorney, Michael W. Engmann | 01/27/2012 | |
Dave L. Neville, power of attorney, MDNH Partners | 01/27/2012 | |
Dave L. Neville, power of attorney, Kendu Partners | 01/27/2012 | |
** 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 4 (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. |