0001144204-15-052554.txt : 20150828
0001144204-15-052554.hdr.sgml : 20150828
20150828124513
ACCESSION NUMBER: 0001144204-15-052554
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150805
FILED AS OF DATE: 20150828
DATE AS OF CHANGE: 20150828
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FALCONSTOR SOFTWARE INC
CENTRAL INDEX KEY: 0000922521
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 770216135
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 125 BAYLIS ROAD
CITY: MELVILLE
STATE: NY
ZIP: 11747
BUSINESS PHONE: 631 777 5188
MAIL ADDRESS:
STREET 1: 125 BAYLIS ROAD
CITY: MELVILLE
STATE: NY
ZIP: 11747
FORMER COMPANY:
FORMER CONFORMED NAME: NETWORK PERIPHERALS INC
DATE OF NAME CHANGE: 19940502
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HALE MARTIN M JR
CENTRAL INDEX KEY: 0001272935
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-23970
FILM NUMBER: 151081168
4/A
1
v419380_form4a.xml
FORM 4/A
X0306
4/A
2015-08-05
2015-08-07
0
0000922521
FALCONSTOR SOFTWARE INC
FALC
0001272935
HALE MARTIN M JR
17 STATE STREET, SUITE 3230
NEW YORK
NY
10004
1
0
1
1
See Remarks
Common Stock
2015-08-05
4
P
0
372186
1.52
A
595377
I
See footnotes
The shares of common stock (the "Common Stock") of Falconstor Software Inc. (the "Issuer") reported herein are held by Hale Capital Partners, LP, a Delaware limited partnership ("HCP").
MH is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA") that owns shares of the Issuer's Series A Convertible Preferred Stock. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest.
This Form 4 Amendment is being filed to correct that HCP is the owner of shares of Common Stock reported as being purchased on August 5, 2015. The initial Form 4 had inadvertently reported that HCP-FVA was the owner of such shares of Common Stock.
MH serves as a director on the board of directors of the Issuer as a representative of HCP-FVA. Accordingly, HCP, HFP, HFM, HCM and HCP-FVA may be deemed directors by deputization by virtue of the fact that MH currently serves on the board of directors of the Issuer.
/s/ Martin M. Hale, Jr.
2015-08-28