1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series A-1 Convertible Preferred Stock
|
Â
(5)
|
Â
(6)
|
Common Stock, par value $0.001 per share
|
14,836
|
$
(4)
|
I
(1)
(2)
(3)
|
By partnership and corporation
(1)
(2)
(3)
|
Warrant (right to buy)
|
Â
(5)
|
01/09/2007 |
Common Stock, par value $0.001 per share
|
901
|
$
37
|
I
(1)
(2)
(3)
|
By partnership and corporation
(1)
(2)
(3)
|
Warrant (right to buy)
|
Â
(5)
|
08/14/2007 |
Common Stock, par value $0.001 per share
|
383
|
$
38
|
I
(1)
(2)
(3)
|
By partnership and corporation
(1)
(2)
(3)
|
Warrant (right to buy)
|
Â
(5)
|
10/08/2008 |
Common Stock, par value $0.001 per share
|
4,914
|
$
40
|
I
(1)
(2)
(3)
|
By partnership and corporation
(1)
(2)
(3)
|
Warrant (right to buy)
|
Â
(5)
|
01/04/2011 |
Common Stock, par value $0.001 per share
|
14,336
|
$
2
|
I
(1)
(2)
(3)
|
By partnership and corporation
(1)
(2)
(3)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) |
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, |
(2) |
(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. |
(3) |
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. |
(4) |
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. |
(5) |
Immediately |
(6) |
None |