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