SEC Form 4/A · accession 0001213900-15-004725
CICERO INC · CICN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John Steffens
Director · 10% Owner
Period of report
Jun 17, 2015
Accepted (ET)
Jun 24, 2015 · 7:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000945384
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par value per shareF1 | holding | — | — | — | 101,767,669 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-1 Convertible Preferred StockF1,F2,F3 | — | holding | — | — | — | — | — | Common Stock | 14,832 | 15 | D |
| Series B Convertible Preferred StockF1,F2,F4 | — | holding | — | — | — | — | — | Common Stock | 6,400,000 | 6,400 | D |
Explanation of responses
- F1On June 19, 2015, the Reporting Person mistakenly filed a Form 4 reporting the conversion of 14.832 shares of Series A-1 Convertible Preferred Stock and 6,400 shares of Series B Convertible Preferred Stock that did not in fact occur. Notice of conversion of the Series A-1 Preferred Shares and the Series B Preferred Stock was withdrawn by the Reporting Person. As of June 17, 2015, the Reporting Person owned only 101,767,669 shares of common stock.
- F2The securities reported herein are currently exercisable.
- F3The Series A-1 Convertible Preferred Stock is convertible into common stock at any time at a conversion ratio of 1:1,000, and has no expiration date.
- F4The Series B Convertible Preferred Stock is convertible into common stock at any time at a conversion ratio of 1:1,000, and has no expiration date.