Filing Details
- Accession Number:
- 0001144204-15-052554
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2015-08-28 12:45:13
- Reporting Period:
- 2015-08-05
- Filing Date:
- 2015-08-28
- Accepted Time:
- 2015-08-28 12:45:13
- Original Submission Date:
- 2015-08-07
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
922521 | Falconstor Software Inc | FALC | Services-Prepackaged Software (7372) | 770216135 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1272935 | Jr M Martin Hale | 17 State Street, Suite 3230 New York NY 10004 | Yes | No | Yes | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2015-08-05 | 372,186 | $1.52 | 595,377 | No | 4 | P | Indirect | See footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnotes |
Footnotes
- The shares of common stock (the "Common Stock") of Falconstor Software Inc. (the "Issuer") reported herein are held by Hale Capital Partners, LP, a Delaware limited partnership ("HCP").
- 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, LLC, a Delaware limited liability company ("HCP-FVA") that owns shares of the Issuer's Series A Convertible Preferred Stock. 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.
- This Form 4 Amendment is being filed to correct that HCP is the owner of shares of Common Stock reported as being purchased on August 5, 2015. The initial Form 4 had inadvertently reported that HCP-FVA was the owner of such shares of Common Stock.