0001144204-15-047344.txt : 20150807 0001144204-15-047344.hdr.sgml : 20150807 20150807162642 ACCESSION NUMBER: 0001144204-15-047344 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150805 FILED AS OF DATE: 20150807 DATE AS OF CHANGE: 20150807 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23970 FILM NUMBER: 151037837 4 1 v417585_form4.xml FORM 4 X0306 4 2015-08-05 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 Common Stock 20000 D The shares of common stock (the "Common Stock") of Falconstor Software Inc. (the "Issuer") reported herein are held by HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"). Hale Capital Partners, LP, a Delaware limited partnership ("HCP"), is the sole member of HCP-FVA. Martin M. Hale, Jr. ("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. 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. 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. 2015-08-07