0000921895-13-001035.txt : 20130513 0000921895-13-001035.hdr.sgml : 20130513 20130513164153 ACCESSION NUMBER: 0000921895-13-001035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130509 FILED AS OF DATE: 20130513 DATE AS OF CHANGE: 20130513 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Horowitz Seth R. CENTRAL INDEX KEY: 0001509021 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23970 FILM NUMBER: 13837922 MAIL ADDRESS: STREET 1: C/O FALCONSTOR SOFTWARE, INC. STREET 2: 2 HUNTINGTON QUADRANGLE CITY: MELVILLE STATE: NY ZIP: 11747 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 4 1 form404637006f_05132013.xml OWNERSHIP DOCUMENT X0306 4 2013-05-09 0 0000922521 FALCONSTOR SOFTWARE INC FALC 0001509021 Horowitz Seth R. C/O FALCONSTOR SOFTWARE, INC. 2 HUNTINGTON QUADRANGLE MELVILLE NY 11747 0 1 0 0 EVP, Gen. Counsel & Secretary Stock Option (right to buy) 1.36 2013-05-09 4 A 0 90000 0 A 2023-05-09 Common Stock 90000 90000 D The options were granted under the Company's 2006 Incentive Stock Plan, as amended. 29,700 of the options will become exercisable on May 9, 2014, an additional 29,700 of the options will become exercisable on May 9, 2015, and the remaining 30,600 of the options will become exercisable on May 9, 2016. /s/ Seth Horowitz 2013-05-13