-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, S2RnNxJo8wj/YTgOLybA6YCzHeJT2woBdnX7tncqydbngPecgp9hR7XxvW5wqtEN jWuaSCJARu/dHXeQHD2L2g== 0001169232-04-001122.txt : 20040217 0001169232-04-001122.hdr.sgml : 20040216 20040217110738 ACCESSION NUMBER: 0001169232-04-001122 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OXENHORN ELI CENTRAL INDEX KEY: 0000923599 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 0 STREET 2: 56 THE INTERVALS CITY: ROSLYN STATE: NY ZIP: 11576 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43393 FILM NUMBER: 04604958 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 SC 13G/A 1 d58413_sc13g-a.txt AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 306137100 (CUSIP Number) December 31, 2003 Date of Event Which Requires Filing of this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 8 CUSIP NO. 306137100 13G - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Eli Oxenhorn - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 2,898,932 shares 6.3% ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 306,077 shares 0.7% ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 2,898,932 shares 6.3% ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 306,077 shares 0.7% - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,205,009 shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.9% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- Page 2 of 8 CUSIP NO. 306137100 13G - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Eli Oxenhorn Family Limited Partnership - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 306,077 shares 0.7% ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 0 shares 0% ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 306,077 shares 0.7% ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 0 shares 0% - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 306,077 shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |_| - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.7% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- Page 3 of 8 CUSIP NO. 306137100 13G This statement constitutes Amendment No. 2 to the Schedule 13G previously filed by the Reporting Persons. No changes in any information previously reported have occurred, except as set forth in this or prior Amendments. Item 1. (a) FalconStor Software, Inc. (b) Address of Issuer's Principal Executive Offices 3 Huntington Quadrangle Melville, New York 11747 Common Stock, $0.001 per share (CUSIP No.306137100) Item 2. 1. (a) Name of Person Filing: Eli Oxenhorn (b) Address of Principal Business Office, or, if none, Residence: 56 The Intervale Roslyn Heights, New York 11576 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, $0.001 par value per share (e) CUSIP Number: 306137100 2. (a) Name of Person Filing: Eli Oxenhorn Family Limited Partnership (b) Address of Principal Business Office, or, if none, Residence: 56 The Intervale Roslyn Heights, New York 11576 (c) Place of Organization: New York (d) Title of Class of Securities: Common Stock, $0.001 par value per share (e) CUSIP Number: 306137100 Item 3. If this statement is filed pursuant to ss.240.13d-1(b) or 240.13d-2(b) or (c), check whether the person is a: (a) |_| Broker or dealer registered under section 15 of the Act (15 U.S.C.78o) (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). Page 4 of 8 CUSIP NO. 306137100 13G (c) |_| Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) |_| Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) |_| An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) |_| An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) |_| A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G); (h) |_| A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) |_| A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) |_| Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). Item 4. Ownership 1. Eli Oxenhorn: (a) Amount Beneficially Owned: 3,205,009(1),(2),(3) shares (b) Percent of Class: 6.9% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 2,898,932(1) shares (ii) shared power to vote or to direct the vote: 306,077(2),(3) shares (iii) sole power to dispose or to direct the disposition of: 2,898,932(1) shares (iv) shared power to dispose or to direct the disposition of: 306,077(2),(3) shares - ---------- (1) Consists of 2,887,932 shares of Common Stock held by Mr. Oxenhorn, 3,500 shares held by the Eli Oxenhorn SEP IRA account and 8,000 shares held by the Eli Oxenhorn Rollover IRA Account. (2) Consists of 306,077 shares of Common Stock held by the Eli Oxenhorn Family Limited Partnership. (3) The reporting person disclaims beneficial ownership of these securities, except to the extent of his equity interest therein. Page 5 of 8 CUSIP NO. 306137100 13G 2. Eli Oxenhorn Family Limited Partnership: (a) Amount Beneficially Owned: 306,077(2) shares. Reporting person is the general partner of the Eli Oxenhorn Family Limited Partnership (b) Percent of Class: 0.7% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 306,077(2) shares (ii) shared power to vote or to direct the vote: 0 shares (iii) sole power to dispose or to direct the disposition of: 306,077(2) shares (iv) shared power to dispose or to direct the disposition of: 0 shares Instruction: For computations regarding securities which represent a right to acquire an underlying security see Rule 13d-3(d)(1). Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. Instruction: Dissolution of a group requires a response to this item. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Exhibit A, Joint Filing Agreement, was previously filed with Schedule 13G, dated August 22, 2001. Item 9. Notice of Dissolution of Group. Not Applicable. Page 6 of 8 CUSIP NO. 306137100 Item 10. Certification. (b) The following certification shall be included if the statement is filed pursuant to ss.240.13d-1(c): By signing below each party certifies that, to the best of his/its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 7 of 8 CUSIP NO. 306137100 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 13, 2004 /s/ Eli Oxenhorn ---------------------------------------- Eli Oxenhorn Eli Oxenhorn Family Limited Partnership By: /s/ Eli Oxenhorn ------------------------------------ Name: Eli Oxenhorn Title: General Partner Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----