0000921895-13-001033.txt : 20130513 0000921895-13-001033.hdr.sgml : 20130513 20130513163942 ACCESSION NUMBER: 0000921895-13-001033 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: RUBENSTEIN BARRY CENTRAL INDEX KEY: 0001022123 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23970 FILM NUMBER: 13837887 MAIL ADDRESS: STREET 1: 68 WHEATLEY RD CITY: BROOKVILLE STATE: NY ZIP: 11545 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 form404637006h_05132013.xml OWNERSHIP DOCUMENT X0306 4 2013-05-09 0 0000922521 FALCONSTOR SOFTWARE INC FALC 0001022123 RUBENSTEIN BARRY C/O FALCONSTOR SOFTWARE, INC. 2 HUNTINGTON QUADRANGLE MELVILLE NY 11747 1 0 0 0 Common Stock 2013-05-09 4 A 0 10000 0 A 971000 D Common Stock 957257 I By Woodland Partners Common Stock 436800 I By Woodland Venture Fund Common Stock 187900 I By Brookwood Partners, L.P. Common Stock 131323 I By Seneca Ventures Common Stock 1258 I By Spouse Represents shares of Restricted Stock granted under the FalconStor Software 2013 Outside Directors Equity Compensation Plan. The restrictions will lapse as to 33% of the shares on the date of each of the Company's next two annual meetings of stockholders. The restrictions will lapse as to the remaining 34% of the shares on the date of the Company's 2016 annual meeting of stockholders. Includes 100,000 shares held jointly by Barry Rubenstein and Marilyn Rubenstein (spouse). Held by Woodland Partners. Mr. Rubenstein is a general partner of Woodland Partners. Mr. Rubenstein disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Held by Woodland Venture Fund. Mr. Rubenstein is a general partner of Woodland Venture Fund. Mr. Rubenstein disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Held by Brookwood Partners, L.P. Mr. Rubenstein is a general partner of Brookwood Partners, L.P. Mr. Rubenstein disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Held by Seneca Ventures. Mr. Rubenstein is a general partner of Seneca Ventures. Mr. Rubenstein disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. /s/ Seth Horowitz as Attorney-in-Fact 2013-05-13