0001140361-15-043504.txt : 20151203
0001140361-15-043504.hdr.sgml : 20151203
20151203130234
ACCESSION NUMBER: 0001140361-15-043504
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130517
FILED AS OF DATE: 20151203
DATE AS OF CHANGE: 20151203
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: COMMUNICATION INTELLIGENCE CORP
CENTRAL INDEX KEY: 0000727634
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 942790442
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 275 SHORELINE DR
STREET 2: STE 500
CITY: REDWOOD SHORES
STATE: CA
ZIP: 94065
BUSINESS PHONE: 6508027888
MAIL ADDRESS:
STREET 1: 275 SHORELINE DR
STREET 2: STE 500
CITY: REDWOOD SHORES
STATE: CA
ZIP: 94065
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Engmann Michael W.
CENTRAL INDEX KEY: 0001483390
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19301
FILM NUMBER: 151266824
MAIL ADDRESS:
STREET 1: 220 BUSH STREET
STREET 2: SUITE 950
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
4
1
doc1.xml
FORM 4
X0306
4
2013-05-17
0
0000727634
COMMUNICATION INTELLIGENCE CORP
CICI
0001483390
Engmann Michael W.
220 BUSH STREET
SUITE 950
SAN FRANCISCO
CA
94104
1
0
1
0
Series D-1 Preferred
0.0225
2013-05-17
4
P
0
40000
A
2013-05-17
Common Stock
1777778
40000
D
Series D-2 Preferred
0.05
2013-05-17
4
P
0
160000
A
2013-05-17
Common Stock
3200000
160000
D
Warrants
0.03
2013-11-06
4
J
0
6250000
A
2013-11-06
2016-11-05
Common Stock
6250000
6250000
D
Warrants
0.03
2013-12-13
4
J
0
5000000
A
2013-12-13
2016-12-12
Common Stock
5000000
5000000
D
Warrants
0.0275
2013-12-31
4
J
0
4881407
A
2013-12-31
2016-12-30
Common Stock
4881407
4881407
D
Series D-1 Preferred
0.0225
2013-12-31
4
J
0
357415
A
2013-12-31
Common Stock
15885111
397415
D
Series D-2 Preferred
0.05
2013-12-31
4
J
0
178707
A
2013-12-31
Common Stock
3574140
338707
D
Series D-1 Preferred
0.0225
2013-12-31
4
J
0
133333
A
2013-12-31
Common Stock
5925911
533308
D
Series D-2 Preferred
0.05
2013-12-31
4
J
0
66667
A
2013-12-31
Common Stock
1333340
415616
D
Series D-1 Preferred
0.0225
2013-12-31
4
J
0
40000
D
2013-05-17
Common Stock
1777778
493308
D
Series D-2 Preferred
0.05
2013-12-31
4
J
0
160000
D
2013-05-17
Common Stock
3200000
255616
D
Warrants
0.0275
2013-12-31
4
J
0
1818181
A
2013-12-31
2016-12-31
Common Stock
1818181
6699588
D
Warrants
0.0275
2014-05-15
4
J
0
4881407
A
2014-05-15
2017-05-14
Common Stock
4881407
4881407
D
Warrants
0.0275
2014-05-15
4
J
0
1818181
A
2014-05-15
2016-12-31
Common Stock
1818181
1818181
D
Series D-1 Preferred
0.0225
2014-08-05
4
P
0
400000
1.00
A
2014-08-05
Common Stock
17777778
893308
D
Warrants
0.0275
2014-08-14
4
J
0
1818181
A
2014-08-14
2016-12-31
Common Stock
1818181
1818181
D
Warrants
0.0275
2014-08-14
4
J
0
4881407
A
2014-08-14
2017-08-13
Common Stock
4881407
4881407
D
Warrants
0.0275
2014-11-14
4
J
0
1818181
A
2014-11-14
2016-12-31
Common Stock
1818181
1818181
D
Warrants
0.0275
2014-11-14
4
J
0
4881407
A
2014-11-14
2017-11-13
Common Stock
4881407
4881407
D
Series D-1 Preferred
0.0225
2015-03-24
4
P
0
1000000
A
2015-03-24
Common Stock
44444444
1961504
D
Warrants
0.0225
2015-03-24
4
P
0
1000000
A
2015-03-24
2018-03-23
Common Stock
22222222
1000000
D
Series D-1 Preferred
0.0225
2015-07-23
4
P
0
200000
A
2015-07-23
Common Stock
8888889
2161504
D
Warrants
0.0125
2015-07-23
4
P
0
200000
A
2015-07-23
2018-07-22
Common Stock
8000000
200000
D
Series D-1 Preferred
0.0225
2015-09-30
4
J
0
130284
A
2015-09-30
Common Stock
5790400
2291788
D
Series D-2 Preferred
0.05
2015-09-30
4
J
0
21657
A
2015-09-30
Common Stock
433140
304116
D
Warrants
0.0225
2015-11-10
4
H
0
1000000
D
2015-03-24
2018-03-23
Common Stock
22222222
0
D
Warrants
0.0125
2015-11-10
4
P
0
1000000
A
2015-11-10
2018-03-23
Common Stock
16000000
1000000
D
Warrants
0.0125
2015-11-10
4
J
0
17777778
A
2015-11-10
2018-11-09
Common Stock
17777778
17777778
D
Options
0.008
2015-11-16
4
A
0
1000000
A
2023-11-15
Common Stock
1000000
1000000
D
The conversion rights of these securities do not expire.
These securities are components of the Issuer's Series D Convertible Preferred Stock units. Each unit had a price of $5 and consisted of one share of Series D-1 Convertible Preferred Stock ("Series D-1") and four shares of Series D-2 Convertible Preferred Stock ("Series D-2").
These securities are owned solely by Michael W. Engmann, who is a member of a "group" for purposes of section 13(d) of the Securities Exchange Act of 1934, as amended, with MDNH Partners, LP, a California limited partnership.
These securities were issued under the terms of certain indebtedness of the Issuer to Mr. Engmann that entitled him to receive warrants based on whether the Issuer achieved certain revenue targets.
These securities were issued under the terms of certain indebtedness of the Issuer to Mr. Engmann and interest thereon, which terms entitled him to receive warrants based on whether the Issuer achieved certain revenue targets.
These securities were issued in exchange for the conversion of $525,000 in indebtedness of the Issuer to Mr. Engmann and $11,122 in interest thereon.
These securities are components of the Issuer's Units issued on December 31, 2013. Each Unit had a price of $3 and consisted of two shares of Series D-1 and one share of Series D-2. Mr. Engmann received them and the warrants described in Note 10 in exchange for the securities issued on May 17, 2013 described above and the conversion of indebtedness of the Issuer to Mr. Engmann.
On December 31, 2013, Mr. Engmann received a stock dividend of 2,560 shares of Series D-1 and 10,242 shares of Series D-2.
These securities were exchanged as described in Note 7 and the Issuer's Form 8-K filed January 7, 2014.
These warrants were issued in connection with the transactions described in Notes 7 and 9. As described in the Form 8-K referred to in Note 9, those transactions entitled Mr. Engmann to receive additional warrants based on whether the Issuer achieved certain revenue targets in 2014.
These are additional warrants issued as described in Note 10.
These securities are components of the Issuer's units issued on this date at a purchase price of $1.00 per unit. Each unit consisted of one share of Series D-1 and one warrant to purchase 22.22 shares of the Issuer's common stock.
On December 31, 2014, Mr. Engmann received a stock dividend of 68,196 shares of Series D-1 and 26,843 shares of Series D-2.
These securities are components of the Issuer's units issued on this date at a purchase price of $1.00 per unit. Each unit consisted of one share of Series D-1 and one warrant to purchase 40 shares of the Issuer's common stock.
Stock dividend.
On this date, the exercise price of the Warrants issued March 24, 2015 was reduced and Mr. Engmann was issued additional warrants.
These options were granted under the Issuer's 2011 Stock Compensation Plan in connection with Mr. Engmann's service as a director of the Issuer, will vest quarterly over three years and have a seven-year term.
Michael W. Engmann
2015-12-02