CICERO INC|4Feb 21, 4:35 PM ET

CICERO INC 4

4 · CICERO INC · Filed Feb 21, 2007

Form 4

Period: 2007-01-04

Director

Transactions

Purchase
Warrants (right to buy)
2007-01-04$37.00/sh+451$16,687→ 451 total
Exercise: $37.00From: 2007-01-04Exp: 2007-01-09→ Common stock, par value $0.001 (451 underlying)
Purchase
Series A-1 Convertible Preferred Stock
2007-01-04+18→ 18,000 total(indirect: By Partnership)
→ Common stock, par value $0.001 (18,000 underlying)
Purchase
Common Stock, par value $0.001
2007-01-04$0.19/sh+758,624$144,139→ 758,624 total
Purchase
Warrants (right to buy)
2007-01-04$38.00/sh+192$7,296→ 192 total
Exercise: $38.00From: 2007-01-04Exp: 2007-08-14→ Common stock, par value $0.001 (192 underlying)
Purchase
Warrants (right to buy)
2007-01-04$2.00/sh+13,195$26,390→ 13,195 total
Exercise: $2.00From: 2007-01-04Exp: 2011-01-04→ Common stock, par value $0.001 (13,195 underlying)
Purchase
Common Stock, par value $0.001
2007-01-04$0.17/sh+491,267$83,515→ 491,267 total(indirect: By Partnership)
Purchase
Series A-1 Convertible Preferred Stock
2007-01-04+49.418→ 49,418 total
→ Common stock, par value $0.001 (49,418 underlying)
Purchase
Warrants (right to buy)
2007-01-04$2.00/sh+3,514$7,028→ 2,514 total(indirect: By Partnership)
Exercise: $2.00From: 2007-01-04Exp: 2011-01-04→ Common stock, par value $0.001 (3,514 underlying)
Purchase
Warrants (right to buy)
2007-01-04$40.00/sh+2,457$98,280→ 2,457 total
Exercise: $40.00From: 2007-01-04Exp: 2007-10-08→ Common stock, par value $0.001 (2,457 underlying)

Footnotes (5)

[F1]As of January 4, 2007, Mr. Bruce D. Miller held in aggregate (i) 758,624 shares of common stock, par value $0.001 per share (the "Shares"), of Cicero, Inc. (the "Company"), (ii) 49.418 shares of the Series A-1 Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred"), (iii) warrants to acquire 451 shares at $37 per share, which warrants expire on January 9, 2007, (iv) warrants to acquire 192 shares at $38 per share, which warrants expire on August 14, 2007, (v) warrants to acquire 2,457 shares at $40 per share, which warrants expire on October 8, 2008, and (vi) warrants to acquire 13,195 shares at $2 per share, which warrants expire on January 4, 2011.
[F2]As of January 4, 2007, Delphi Partners, Ltd. held in aggregate (i) 491,267 shares of common stock, par value $0.001 per share (the "Shares"), of Cicero, Inc. (the "Company"), (ii) 18.00 shares of the Series A-1 Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred"), and (iii) warrants to acquire 3,514 shares at $2 per share, which warrants expire on January 4, 2011. Mr. Bruce D. Miller possesses sole power to vote and direct the disposition of all securities of the Company held by Delphi Partners, Ltd.
[F3]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.
[F4]Immediately.
[F5]None.

Documents

1 file