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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to FalconStor Software, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| July 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified |
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| July 12, 2023 |
As filed with the Securities and Exchange Commission on July 12, 2023 As filed with the Securities and Exchange Commission on July 12, 2023 Registration No. |
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| July 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: June 29, 2023 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| June 28, 2023 |
FalconStor Software Announces its intention to voluntarily deregister under Section 12(g) of the SEC For more information, contact: FalconStor Software, Inc. Vincent Sita Chief Financial Officer [email protected] FalconStor Software Announces its intention to voluntarily deregister under Section 12(g) of the SEC AUSTIN, TEXAS (June 28, 2023) - FalconStor Software, Inc. (OTCQB: FALC) (the “Company” or “FalconStor”), a trusted data protection leader modernizing disaster recovery and backu |
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| June 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: June 28, 2023 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| May 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| May 10, 2023 |
FalconStor Software Announces First Quarter of 2023 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Vincent Sita Chief Financial Officer [email protected] FalconStor Software Announces First Quarter of 2023 Results Expanding Hybrid Cloud Momentum Fuels ARR Growth • Generated 11% year-over-year increase in total GAAP revenue • Generated 81% increase in total hybrid cloud ARR run-rate for Q1 versus the previous quarter |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2023 FALCONSTOR SOFTWARE, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-23970 FALCONSTOR SOFTWARE, INC. |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-23970 FALCONSTOR SOFTWARE, INC. |
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| March 23, 2023 |
Exhibit 4.8 LETTER AGREEMENT February 10, 2023 Hale Capital Partners, LP 17 State Street, Suite 4000 New York, NY 10004 Attn: Martin Hale, Jr. Re: Redemption of Series A Convertible Preferred Stock Dear Marty: Reference is hereby made to (i) the Amended and Restated Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of FalconStor Software, Inc. (the “Compan |
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| March 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-23970 FALCONSTOR SOFTWARE, INC. (E |
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| March 23, 2023 |
Exhibit 10.11 LETTER AGREEMENT February 10, 2023 Hale Capital Partners, LP 17 State Street, Suite 4000 New York, NY 10004 Attn: Martin Hale, Jr. Re: Extension of the Hale Capital Term Loan Dear Marty: Reference is hereby made to the Amended and Restated Term Loan Credit Agreement, dated as of February 23, 2018, by and among FalconStor Software, Inc., a Delaware corporation (the “Company”), FalconS |
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| March 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2023 FALCONSTOR SOFTWARE, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commissio |
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| March 15, 2023 |
FalconStor Software Announces Fourth Quarter and Full Year 2022 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Vincent Sita Chief Financial Officer [email protected] FalconStor Software Announces Fourth Quarter and Full Year 2022 Results Expanding Hybrid Cloud Momentum Fuels ARR Growth • Generated a 20% increase in total hybrid cloud ARR run-rate for Q4 versus the previous quarter and a 222% increase versus Q4 of 2021, as sales |
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| February 14, 2023 |
FALC / FalconStor Software, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment SC 13G/A 1 tm236168d34sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common stock, $0.001 Par Value (Title of Class of Securities) 306137209 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check t |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 000-23970 FALCONSTOR SOFTWARE, INC. |
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| November 9, 2022 |
FalconStor Software Announces Third Quarter of 2022 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Vincent Sita Chief Financial Officer [email protected] FalconStor Software Announces Third Quarter of 2022 Results Delivered Hybrid Cloud Revenue Growth and Positive Net Income ? Added new customers and expanded existing customer usage for our joint IBM/FalconStor data protection solutions, enabling hybrid cloud data m |
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| November 9, 2022 |
Exhibit 10.1 LETTER AGREEMENT July 19, 2022 Hale Capital Partners, LP 17 State Street, Suite 4000 New York, NY 10004 Attn: Martin Hale, Jr. Re: Extension of the Hale Capital Term Loan Dear Marty: Reference is hereby made to the Amended and Restated Term Loan Credit Agreement, dated as of February 23, 2018, by and among FalconStor Software, Inc., a Delaware corporation (the ?Company?), FalconStor, |
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| November 9, 2022 |
Exhibit 4.1 LETTER AGREEMENT July 19, 2022 Hale Capital Partners, LP 17 State Street, Suite 4000 New York, NY 10004 Attn: Martin Hale, Jr. Re: Redemption of Series A Convertible Preferred Stock Dear Marty: Reference is hereby made to (i) the Amended and Restated Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of FalconStor Software, Inc. (the ?Company?), |
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| November 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 09, 2022 FALCONSTOR SOFTWARE, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTOR |
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| August 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2022 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissio |
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| August 3, 2022 |
FalconStor Software Announces Second Quarter of 2022 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Vincent Sita Chief Financial Officer [email protected] FalconStor Software Announces Second Quarter of 2022 Results Launched Hybrid Cloud Data Protection Sales with IBM and Continued Managed Service Provider (?MSP?) Adoption ?Secured first group of customers for new joint IBM/FalconStor solutions, enabling hybrid cloud |
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| June 28, 2022 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: June 23, 2022 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| May 24, 2022 |
DEF 14A 1 def14a0463700605242022.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| May 11, 2022 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Vincent Sita Chief Financial Officer [email protected] FalconStor Software Announces First Quarter of 2022 Results New Hybrid Cloud Reseller Relationship with IBM and Continued Managed Service Provider Adoption ?Developed new strategic reseller relationship with IBM, creating new joint solutions that enable hybrid clou |
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| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTO |
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| May 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2022 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commission |
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| May 2, 2022 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31. 2021. OR ? TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exa |
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| March 11, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021. OR ? TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registran |
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| March 9, 2022 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Vincent Sita Chief Financial Officer [email protected] FalconStor Software Announces Fourth Quarter and Full Year 2021 Results Continued Managed Service Provider Adoption and Hybrid Cloud Momentum Fuel Subscription Revenue Growth ?Generated a 20% year-over-year increase in software subscription revenue for Q4 and a 40% |
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| March 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2022 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commission |
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| February 17, 2022 |
INDEPENDENT CONTRACTOR SERVICES AGREEMENT THIS AGREEMENT (the ?Agreement?) is made and entered into this February 11, 2022 (the ?Effective Date?) by and between FalconStor Software, Inc. |
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| February 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: February 11, 2022 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| February 14, 2022 |
FALC / FalconStor Software, Inc. / Nantahala Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* Falconstor Software, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 306137209 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| November 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2021 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commis |
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| November 10, 2021 | ||
| November 10, 2021 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Third Quarter of 2021 Results Managed Service Provider Adoption and Hybrid Cloud Momentum Fuel Subscription Revenue Growth Partially Offsetting Declines in Legacy Business ?Delivered a 35% year-over-year increase in software subscription r |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: November 10, 2021 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCO |
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| August 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTOR |
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| August 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2021 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissio |
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| August 4, 2021 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Second Quarter and First Half 2021 Results Continued Strategic Progress, Including New Growth Equity Raise AUSTIN, TEXAS (August 4, 2021) - FalconStor Software, Inc. (OTCQB: FALC), a trusted data protection leader modernizing backup and ar |
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| July 27, 2021 |
Underwriting Agreement dated July 22, 2021 Exhibit 1.1 Execution Version FALCONSTOR SOFTWARE, INC. UNDERWRITING AGREEMENT July 22, 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Falconstor Software, Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the ?Underwriter? or ?R |
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| July 27, 2021 |
FalconStor Software Announces Pricing of Its Public Offering of Common Stock Exhibit 99.1 FalconStor Software Announces Pricing of Its Public Offering of Common Stock AUSTIN, TX (July 23, 2021) ? FalconStor Software, Inc. (the ?Company? or ?FalconStor?) (OTCQB: FALC), the trusted data protection technology leader modernizing backup and archival for the multi-cloud world, today announced the pricing of an underwritten registered public offering of 285,000 newly issued share |
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| July 27, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 22, 2021 FALCONSTOR SOFTWARE, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 26, 2021 |
285,000 Shares FalconStor Software, Inc. Common Stock Filed Pursuant to Rule 424(b)(4) ?Registration No.: 333-258031 PROSPECTUS 285,000 Shares FalconStor Software, Inc. Common Stock We are offering 285,000 shares of our common stock, par value $0.001 per share. Our common stock is quoted by the OTCQB Venture Market under the symbol ?FALC.? On July 21, 2021, the last reported sale price of our common stock was $4.95 per share. Investing in our common |
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| July 21, 2021 |
July 21, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street NE Washington, DC 20549 Attn: Jan Woo, Legal Branch Chief Anna Abramson, Staff Attorney Re: FalconStor Software, Inc. Registration Statement on Form S-1 (File No. 333-258031) Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as ame |
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| July 21, 2021 |
FALCONSTOR SOFTWARE, INC. 701 Brazos Street, Suite 400 Austin, Texas 78701 FALCONSTOR SOFTWARE, INC. 701 Brazos Street, Suite 400 Austin, Texas 78701 July 21, 2021 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jan Woo, Esq. and Anna Abramson, Esq. Division of Corporation Finance Office of Technology Re: FalconStor Software, Inc. Registration Statement on Form S-1 (No. 333-258031) Ladies and Gentlemen: FalconStor So |
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| July 20, 2021 |
Form of Underwriting Agreement. FALCONSTOR SOFTWARE, INC. UNDERWRITING AGREEMENT July [?], 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Falconstor Software, Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the ?Underwriter? or ?Roth Capital?), an aggregate o |
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| July 20, 2021 |
July 20, 2021 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: FalconStor Software, Inc. Registration Statement on Form S-1 Ladies and Gentlemen: On behalf of FalconStor Software, Inc., a Delaware corporation (the ?Company?), we are hereby filing in electronic format through EDGAR with the U.S. Securities and Exchange Commission, pursuant to the Secur |
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| July 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: July 20, 2021 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| July 20, 2021 |
As filed with the Securities and Exchange Commission on July 20, 2021 As filed with the Securities and Exchange Commission on July 20, 2021 Registration No. |
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| June 28, 2021 |
Exhibit 3.1 AMENDMENT NO. 1 TO THE AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES A CONVERTIBLE PREFERRED STOCK OF FALCONSTOR SOFTWARE, INC. This Amendment No. 1 to the Amended and Restated Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of FalconStor Software, Inc. (this ?Amendment?) is made by FalconStor Software, In |
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| June 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 24, 2021 FALCONSTOR SOFTWARE, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 23, 2021 |
FalconStor Software Announces Pricing of its Public Offering of Common Stock Exibit 99.1 FalconStor Software Announces Pricing of its Public Offering of Common Stock AUSTIN, TX (June 21, 2021) ? FalconStor Software, Inc. (the ?Company? or ?FalconStor?) (OTCQB: FALC), the trusted data protection technology leader modernizing backup and archival for the multi-cloud world, today announced the pricing of an underwritten registered public offering of 725,000 newly issued shares |
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| June 23, 2021 |
Underwriting Agreement dated June 21, 2021 Exhibit 1.1 Execution Version FALCONSTOR SOFTWARE, INC. UNDERWRITING AGREEMENT June 21, 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Falconstor Software, Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the ?Underwriter? or ?R |
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| June 23, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: June 21, 2021 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| June 22, 2021 |
725,000 Shares FalconStor Software, Inc. Common Stock Filed Pursuant to Rule 424(b)(4) ?Registration No.: 333-256756 PROSPECTUS 725,000 Shares FalconStor Software, Inc. Common Stock We are offering 725,000 shares of our common stock, par value $0.001 per share. Our common stock is quoted by the OTCQB Venture Market under the symbol ?FALC.? On June 18, 2021, the last reported sale price of our common stock was $4.50 per share. Investing in our common |
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| June 21, 2021 |
As filed with the Securities and Exchange Commission on June 21, 2021 As filed with the Securities and Exchange Commission on June 21, 2021 Registration No. |
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| June 18, 2021 |
As filed with the Securities and Exchange Commission on June 21, 2021 As filed with the Securities and Exchange Commission on June 21, 2021 Registration No. |
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| June 17, 2021 |
June 17, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street NE Washington, DC 20549 Attn: Jan Woo, Legal Branch Chief Anna Abramson, Staff Attorney Re: FalconStor Software, Inc. Registration Statement on Form S-1 (File No. 333-256756) Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as ame |
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| June 17, 2021 |
FALCONSTOR SOFTWARE, INC. 701 Brazos Street, Suite 400 Austin, Texas 78701 June 17, 2021 VIA EMAIL AND EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jan Woo, Esq. and Anna Abramson, Esq. Division of Corporation Finance Office of Technology Re: FalconStor Software, Inc. Registration Statement on Form S-1 (No. 333-256756) Ladies and Gentlemen: On behalf of FalconStor Software, Inc., a Delaware corporation (the ?Company?) |
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| June 17, 2021 |
As filed with the Securities and Exchange Commission on June 17, 2021 As filed with the Securities and Exchange Commission on June 17, 2021 Registration No. |
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| June 15, 2021 |
FalconStor Software, Inc., Business Overview, dated June 2021 |
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| June 15, 2021 |
As filed with the Securities and Exchange Commission on June 15, 2021 As filed with the Securities and Exchange Commission on June 15, 2021 Registration No. |
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| June 15, 2021 |
June 15, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street NE Washington, DC 20549 Attn: Jan Woo, Legal Branch Chief Anna Abramson, Staff Attorney Re: FalconStor Software, Inc. Registration Statement on Form S-1 (File No. 333-256756) Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as ame |
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| June 15, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report: June 15, 2021 (Date of earliest event reported) FALCONSTOR SOFTWARE, INC. |
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| June 15, 2021 |
FALCONSTOR SOFTWARE, INC. 701 Brazos Street, Suite 400 Austin, Texas 78701 O L S H A N 1325 AVENUE OF THE AMERICAS ? NEW YORK, NEW YORK 10019 TELEPHONE: 212. |
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| June 3, 2021 |
June 3, 2021 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: FalconStor Software, Inc. Registration Statement on Form S-1 Ladies and Gentlemen: On behalf of FalconStor Software, Inc., a Delaware corporation (the ?Company?), we are hereby filing in electronic format through EDGAR with the U.S. Securities and Exchange Commission, pursuant to the Securi |
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| June 3, 2021 |
As filed with the Securities and Exchange Commission on June 3, 2021 As filed with the Securities and Exchange Commission on June 3, 2021 Registration No. |
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| June 3, 2021 |
Form of Underwriting Agreement. FALCONSTOR SOFTWARE, INC. UNDERWRITING AGREEMENT [?], 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Falconstor Software, Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell to Roth Capital Partners, LLC (the ?Underwriter? or ?Roth Capital?), an aggregate of [?] |
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| June 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| May 5, 2021 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces First Quarter 2021 Results Including 20% Total Revenue Growth, GAAP Net Income After Tax of $425,248 Strong First Quarter Marked by Robust Product Revenue Growth, and Significant Customer Expansions, Net Income, New Customer Sales, and New |
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| May 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commission F |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTO |
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| April 23, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020. OR ? TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exa |
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| March 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020. OR ? TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registran |
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| March 10, 2021 |
FalconStor Software Announces Fourth Quarter and Fiscal Year 2020 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Fourth Quarter and Fiscal Year 2020 Results Strong Net Income, New Customer Sales, and New Product Expansion ?26 percent increase in new customer bookings for fiscal year 2020 over fiscal year 2019 ?$1.8 million in fiscal year 2020 GAAP op |
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| March 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2021 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissio |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* Falconstor Software, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 306137209 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| November 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCO |
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| November 9, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2020 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commiss |
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| November 9, 2020 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Third Quarter 2020 Results, Including 11.7% Year-over-Year Revenue Growth AUSTIN, TEXAS (November 9, 2020) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in enterprise-class backup and archive data protection and software-defin |
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| August 5, 2020 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Second Quarter 2020 Results, Including Strong New Customer Bookings and Net Income Growth AUSTIN, TEXAS (August 5, 2020) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in enterprise-class backup and archive data protection and |
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| August 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTOR |
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| August 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2020 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissio |
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| June 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019. OR ¨ TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-23970 FALCONSTOR SOF |
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| May 7, 2020 |
FalconStor Software Announces First Quarter 2020 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces First Quarter 2020 Results AUSTIN, TEXAS (May 7, 2020) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in enterprise-class backup and archive data protection and software-defined storage, today announced financial results for it |
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| May 7, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2020 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commission F |
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| May 7, 2020 |
Exhibit 10.1 SBA Loan Number: 6258327208 SBA Loan Name: Falconstor, Inc. RR U.S. Small Business Administration U.S. Small Business Administration NOTE [email protected] SBA Loan #6258327208 SBA Loan Name Falconstor, Inc. Date April 28, 2020 Loan Amount $754,000.00 Interest Rate Fixed rate of interest equal at all times to 1.00% Borrower Falconstor, Inc. Lender Peapack-Gladstone Bank 754000 |
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| May 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTO |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 29, 2020 FalconStor Software, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commissio |
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| March 19, 2020 |
FALC / FalconStor Software, Inc. 10-K - Annual Report - 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019. OR ¨ TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registran |
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| March 19, 2020 |
Exhibit 4.6 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 FalconStor Software, Inc. (the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): its common stock, par value $0.001 per share (“Common Stock”). The following is a summary of the mate |
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| March 12, 2020 |
FalconStor Software Announces Fourth Quarter 2019 Results Including 22% New Customer Sales Growth Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Fourth Quarter 2019 Results Including 22% New Customer Sales Growth AUSTIN, TEXAS (March 12, 2020) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in data protection software for global enterprises, today announced financial res |
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| March 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 12, 2020 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissio |
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| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Falconstor Software, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 306137209 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| January 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 27, 2019 FALCONSTOR SOFTWARE, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| January 3, 2020 |
Execution Version AMENDMENT NO. 1 TO AMENDED AND RESTATED TERM LOAN CREDIT AGREEMENT This Amendment No. 1 to Amended and Restated Term Loan Credit Agreement (this “Amendment”), dated as of December 27, 2019 (the “Amendment Effective Date”), is by and among FALCONSTOR SOFTWARE, INC., a Delaware corporation (the “Borrower”), FALCONSTOR, INC., a Delaware corporation, and FALCONSTOR AC, INC., a Delawa |
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| November 19, 2019 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Third Quarter 2019 Results Including Second Consecutive Quarter of Double Digit Global Billings Growth AUSTIN, TEXAS (November 19, 2019) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in enterprise-class backup and archive data |
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| November 19, 2019 |
FALC / FalconStor Software, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCO |
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| November 19, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2019 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commis |
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| November 15, 2019 |
FALC / FalconStor Software, Inc. NT 10-Q - - SEC FILE NUMBER 000-23970 CUSIP NUMBER 306137100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 14, 2019 |
FalconStor Software Announces Second Quarter 2019 Results Including 15% Global Billings Growth Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Second Quarter 2019 Results Including 15% Global Billings Growth AUSTIN, TEXAS (August 14, 2019) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in software-defined storage and data management, today announced financial results |
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| August 14, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2019 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissi |
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| August 14, 2019 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION OF FALCONSTOR SOFTWARE, INC. FALCONSTOR SOFTWARE, INC., a corporation duly organized and existing under the General Corporation Law of the State Delaware (the “Corporation”), does hereby certify that: 1.The amendment to the Corporation’s Restated Certificate of Incorporation set forth below was duly adopted in accord |
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| August 14, 2019 |
FALC / FalconStor Software, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTOR |
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| June 25, 2019 |
EX-3.1 2 ex31to8k0463700606242019.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION OF FALCONSTOR SOFTWARE, INC. FalconStor Software, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: That resolutions were duly adopted by the Board of Directors o |
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| June 25, 2019 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 20, 2019 FALCONSTOR SOFTWARE, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 13, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 11, 2019 FALCONSTOR SOFTWARE, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 10, 2019 |
FALC / FalconStor Software, Inc. / Falconstor Software Inc - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 FalconStor Software, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 306137100 (CUSIP Number) TODD BROOKS 701 Brazos |
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| June 6, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 31, 2019 FALCONSTOR SOFTWARE, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 6, 2019 |
FALCONSTOR SOFTWARE, INC. 2018 STOCK INCENTIVE PLAN RESTRICTED STOCK AGREEMENT Exhibit 99.1 FALCONSTOR SOFTWARE, INC. 2018 STOCK INCENTIVE PLAN RESTRICTED STOCK AGREEMENT THIS AGREEMENT (the “Agreement”) is made effective as of May 31, 2019 (the “Grant Date”), between FalconStor Software, Inc., a Delaware corporation (the “Company”), and [ ] (the “Participant”): RECITALS: WHEREAS, the Company has adopted the FalconStor Software, Inc. 2018 Stock Incentive Plan (the “Plan”), w |
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| May 23, 2019 |
FALC / FalconStor Software, Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| May 15, 2019 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces First Quarter 2019 Results Including Operating Profitability for Seven Consecutive Quarters AUSTIN, TEXAS (May 15, 2019) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in software-defined storage and data management, today anno |
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| May 15, 2019 |
FALC / FalconStor Software, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTO |
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| May 15, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2019 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commission |
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| May 13, 2019 |
FALC / FalconStor Software, Inc. PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| April 30, 2019 |
FALC / FalconStor Software, Inc. 10-K/A Annual Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018. OR ¨ TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTW |
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| April 9, 2019 |
Letter of RBSM LLP, dated April 8, 2019. Exhibit 16.1 101 Larkspur Landing Circle Suite 321 Larkspur, CA 94939 415-448-5061 www.rbsmllp.com April 8, 2019 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, N. E. Washington, D.C. 20549 Ladies and Gentlemen: We have read the statements of Falconstor Software, Inc. included under Item 4.01 of its Form 8-K dated April 8, 2019, and we agree with such statements as |
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| April 9, 2019 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 3, 2019 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 27, 2019 |
FALC / FalconStor Software, Inc. 10-K (Annual Report) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018. OR ¨ TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registran |
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| March 25, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2019 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissio |
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| March 25, 2019 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Fourth Quarter 2018 Results Including Growth in the Americas and EMEA Regions AUSTIN, TEXAS (March 25, 2019) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in software-defined storage and data management, today announced financ |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Falconstor Software, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 306137100 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| January 3, 2019 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 31, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| December 31, 2018 |
FALC / FalconStor Software, Inc. / ESW Capital, LLC - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1 )* FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 306137100 (CUSIP Number) ESW Capital, LLC 401 Co |
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| December 31, 2018 |
FALC / FalconStor Software, Inc. / HALE MARTIN M JR - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7) FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 306137100 (CUSIP Number) Martin M. Hale, Jr. 17 State Street, Suite 3230 New York, NY 10004 (212) 751-8800 (Name, Address and Telephone Number of Person |
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| December 28, 2018 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 27, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| December 19, 2018 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 19, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| December 12, 2018 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 6, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commiss |
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| November 14, 2018 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Third Quarter 2018 Results Including Operating Profitability for Five Consecutive Quarters AUSTIN, TEXAS (November 14, 2018) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in software-defined storage and data management, today |
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| November 14, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commis |
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| November 14, 2018 |
FALC / FalconStor Software, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCO |
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| October 19, 2018 |
FALC / FalconStor Software, Inc. / HALE MARTIN M JR - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6) FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 306137100 (CUSIP Number) Martin M. Hale, Jr. 17 State Street, Suite 3230 New York, NY 10004 (212) 751-8800 (Name, Address and Telephone Number of Person |
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| October 19, 2018 |
FALC / FalconStor Software, Inc. / ESW Capital, LLC - SC 13D Activist Investment SC 13D SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. )* FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 306137100 (CUSIP Number) ESW Capital, LLC 401 Congre |
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| October 11, 2018 |
Exhibit 10.2 The undersigned, desiring to become a party to the Amended and Restated Term Loan Credit Agreement (the “Amended and Restated Loan Agreement”) dated as of February 23, 2018, by and among FalconStor Software, Inc. as borrower, the other loan parties thereto as guarantors, the various financial institutions party thereto as lenders, and HCP-FVA, LLC as administrative agent, does hereby |
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| October 11, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 9, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commissi |
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| October 11, 2018 |
Exhibit 10.1 SUBSCRIPTION AGREEMENT FOR ACCREDITED INVESTORS FALCONSTOR SOFTWARE, INC. A DELAWARE CORPORATION This is a Subscription for Units (as defined below) to be issued by FalconStor Software, Inc. (the “Company”) THE UNITS, INCLUDING THE SHARES OF SERIES A CONVERTIBLE PREFERRED STOCK AND FINANCING WARRANTS COMPRISING SUCH UNITS AND THE SHARES OF COMMON STOCK ISSUABLE UPON THE CONVERSION OR |
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| August 14, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissi |
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| August 14, 2018 |
Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces Second Quarter 2018 Results Including Operating Profitability for Four Consecutive Quarters AUSTIN, TEXAS (August 14, 2018) - FalconStor Software, Inc. (OTCQB: FALC), a market leader in software-defined storage and data management, today a |
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| August 14, 2018 |
FALC / FalconStor Software, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTOR |
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| June 25, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 22, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 25, 2018 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE RESTATED CERTIFICATE OF INCORPORATION OF FALCONSTOR SOFTWARE, INC. FALCONSTOR SOFTWARE, INC., a corporation duly organized and existing under the General Corporation Law of the State Delaware (the “Corporation”), does hereby certify that: 1. The amendment to the Corporation’s Restated Certificate of Incorporation set forth below was duly adopted in accor |
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| June 25, 2018 |
Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF Series A CONVERTIBLE PREFERRED STOCK OF FALCONSTOR SOFTWARE, INC. FalconStor Software, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follows: 1. This Amended and Restated Certificate of |
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| June 5, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| June 1, 2018 |
FALC / FalconStor Software, Inc. PRER14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| May 25, 2018 |
FALC / FalconStor Software, Inc. CORRESP O L S H A N 1325 AVENUE OF THE AMERICAS ● NEW YORK, NEW YORK 10019 TELEPHONE: 212. |
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| May 18, 2018 |
FALC / FalconStor Software, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTO |
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| May 16, 2018 |
FALC / FalconStor Software, Inc. PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| May 16, 2018 |
FALC / FalconStor Software, Inc. NT 10-Q SEC FILE NUMBER 000-23970 CUSIP NUMBER 306137100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 16, 2018 |
FALC / FalconStor Software, Inc. CORRESP O L S H A N 1325 AVENUE OF THE AMERICAS ● NEW YORK, NEW YORK 10019 TELEPHONE: 212. |
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| May 10, 2018 |
FalconStor Software Announces First Quarter 2018 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Brad Wolfe Chief Financial Officer [email protected] FalconStor Software Announces First Quarter 2018 Results MELVILLE, N.Y., May 10, 2018 — FalconStor Software, Inc. (OTCQB: FALC), a market leader in storage software, today announced financial results for its first quarter ended March 31, 2018. “We are pleased with our |
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| May 10, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commission |
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| May 10, 2018 |
FALC / FalconStor Software, Inc. / HALE MARTIN M JR - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5) FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 306137100 (CUSIP Number) Martin M. Hale, Jr. 17 State Street, Suite 3230 New York, NY 10004 (212) 751-8800 (Name, Address and Telephone Number of Person |
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| April 30, 2018 |
FALC / FalconStor Software, Inc. 10-K/A (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017. OR ¨ TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTW |
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| April 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 23, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commissio |
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| April 26, 2018 |
begin 644 ex161to8k04637006_04262018.pdf M)5!$1BTQ+C4*)>+CS],*-B P(&]B:@H\/" *(" @+U1Y<&4@+UA/8FIE8W0* M(" @+U-U8G1Y<&4@+TEM86=E"B @("]":71S4&5R0V]M<&]N96YT(#@*(" @ M+U=I9'1H(#DS,@H@(" O2&5I9VAT(#@T"B @("]#;VQOH. |
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| April 11, 2018 |
EX-10.1 2 ex101to8k0463700604112018.htm Exhibit 10.1 SEPARATION AND TRANSITION AGREEMENT AND GENERAL RELEASE In return for the mutual promises in this Separation and Transition Agreement and General Release (the “Agreement”), FALCONSTOR SOFTWARE, INC. (the “Company”), 823 Congress Ave, Suite 1300, Austin, Texas 78701, its predecessor companies, and its and their respective stockholders, affiliates |
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| April 11, 2018 |
FALCONSTOR ANNOUNCES CFO Transition Exhibit 99.1 FALCONSTOR ANNOUNCES CFO Transition Enterprise Software Growth-Focused CFO, Brad Wolfe, Joins Leadership Team AUSTIN, TX, April 5, 2018 — FalconStor Software, Inc. (OTCQB: FALC), a market leader in storage software, today announced the appointment of Brad Wolfe as Chief Financial Officer, effective April 9, 2018. In concert with this appointment, Pat McClain, FalconStor’s current Chie |
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| April 11, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 5, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 11, 2018 |
Exhibit 10.2 April 4, 2018 Mr. Brad Wolfe 12504 Alcanza Dr Austin, TX 78739 VIA EMAIL: [email protected] Dear Brad: We are excited to work with you as CFO to transform this company. We believe that you will be an outstanding leader for FalconStor and, thereafter, a key relationship not only for the Company but also for its major stakeholders including Hale Capital Partners and the Company’s b |
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| April 2, 2018 |
FALC / FalconStor Software, Inc. 10-K (Annual Report) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017. OR ¨ TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registran |
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| March 22, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commissio |
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| March 22, 2018 |
FalconStor Software Announces Fourth Quarter and Fiscal Year 2017 Results Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Patrick McClain Chief Financial Officer [email protected] FalconStor Software Announces Fourth Quarter and Fiscal Year 2017 Results AUSTIN, TX, March 22, 2018 - FalconStor Software, Inc. (OTCQB: FALC), a market leader in storage software, today announced financial results for its fourth quarter and fiscal year ended |
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| March 6, 2018 |
FALC / FalconStor Software, Inc. / HALE MARTIN M JR - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4) FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 306137100 (CUSIP Number) Martin M. Hale, Jr. 17 State Street, Suite 3230 New York, NY 10004 (212) 751-8800 (Name, Address and Telephone Number of Person |
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| February 26, 2018 |
FalconStor Software Closes on $3 Million Financing Commitment from Hale Capital PRESS RELEASE FalconStor Software Closes on $3 Million Financing Commitment from Hale Capital MELVILLE, N. |
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| February 26, 2018 |
AMENDED AND RESTATED TERM LOAN CREDIT AGREEMENT dated as of February 23, 2018 among FALCONSTOR SOFTWARE, INC. |
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| February 26, 2018 |
NEITHER THIS WARRANT NOR THE SECURITIES FOR WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAILABLE EXEMPTION FROM, OR IN A TRANSACTION NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND IN COMPLIANCE WITH APPLICABLE STATE SECURITIES OR BLUE SKY LAWS. |
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| February 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 23, 2018 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| February 26, 2018 |
NEITHER THIS WARRANT NOR THE SECURITIES FOR WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIV |
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| February 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Falconstor Software, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 306137100 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| November 27, 2017 |
FALC / FalconStor Software, Inc. / HALE MARTIN M JR - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3) FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 306137100 (CUSIP Number) Martin M. Hale, Jr. 17 State Street, Suite 3230 New York, NY 10004 (212) 751-8800 (Name, Address and Telephone Number of Person |
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| November 20, 2017 |
FalconStor Software Announces Third Quarter 2017 Results Exhibit Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Patrick McClain Chief Financial Officer [email protected] FalconStor Software Announces Third Quarter 2017 Results MELVILLE, N.Y., November 20, 2017 ? FalconStor Software, Inc. (OTCQB: FALC), a market leader in storage software, today announced financial results for its third quarter ended September 30, 2017 |
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| November 20, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 form8k-q32017.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 20, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdicti |
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| November 20, 2017 |
FALC / FalconStor Software, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCO |
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| November 18, 2017 |
Exhibit 10.1 EXECUTION COPY LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this ?Agreement?), dated as of November 17, 2017, among: (a) FALCONSTOR SOFTWARE, INC., a Delaware corporation (?Borrower? or the ?Company?), (b) the other Loan Parties from time to time party hereto and (c) HCP-FVA, LLC, a Delaware limited liability company (together with its successors and assigns, ?Lender? |
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| November 18, 2017 |
Exhibit 10.2 EXECUTION COPY NEITHER THIS WARRANT NOR THE SECURITIES FOR WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED EX |
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| November 18, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 17, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| November 18, 2017 |
FalconStor Software Secures Financing Commitment From Hale Capital Exhibit 99.1 FalconStor Software Secures Financing Commitment From Hale Capital MELVILLE, N.Y., November 17, 2017 ? FalconStor Software, Inc. (OTCMKTS:FALC) (?FalconStor? or the ?Company?), today announced that the Company has secured a commitment (the ?Commitment?) from HCP-FVA, LLC, an affiliate of Hale Capital Partners, LP (together, ?Hale Capital?), to purchase up to $3 million worth of units |
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| November 18, 2017 |
Letter dated as of November 17, 2017 from Hale Capital Partners, LP to FalconStor Software, Inc. Exhibit 10.3 HALE CAPITAL PARTNERS, LP 17 State Street, Suite 3230 New York, NY 10004 November 17, 2017 FalconStor Software, Inc. 2 Huntington Quadrangle Melville, NY 11747 Attention: Todd Brooks, CEO Dear Todd: Reference is hereby made to that certain Term Sheet, dated on or around October 6, 2017 (the ?Term Sheet?), by and between Hale Capital Partners, LP (?HCP?) and FalconStor Software, Inc. ( |
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| November 15, 2017 |
FALC / FalconStor Software, Inc. 0-Q SEC FILE NUMBER 000-23970 CUSIP NUMBER 306137100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 21, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 21, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commi |
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| September 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 12, 2017 FALCONSTOR SOFTWARE, INC (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commis |
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| August 28, 2017 |
EX-24 LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Andrew S. |
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| August 28, 2017 |
FALC / FalconStor Software, Inc. / ESW Capital, LLC - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. N/A)1 FALCONSTOR SOFTWARE, INC. (Name of issuer) Common Stock, par value $0.001 (Title of class of securities) 306137100 (CUSIP number) 08/21/2017 (Da |
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| August 17, 2017 |
Exhibit 10.3 SEPARATION AND TRANSITION AGREEMENT AND GENERAL RELEASE In return for the mutual promises in this Separation and Transition Agreement and General Release (the “Agreement”), FALCONSTOR SOFTWARE, INC. (the “Company”), 2 Huntington Quadrangle, Melville, NY 11747, its predecessor companies, and its and their respective stockholders, affiliates, subsidiaries, divisions, successors and assi |
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| August 17, 2017 |
Exhibit 10.2 August 11, 2017 Mr. Todd Brooks 1810 Collier Street Austin, TX 78704 VIA EMAIL: [email protected] Dear Todd: The FalconStor Software (the ?Company?) management team and Board of Directors have been very impressed with your leadership as COO. We are excited to work with you as CEO to transform this company. We believe that you will be an outstanding leader for FalconStor and, thereaf |
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| August 17, 2017 |
Exhibit 99.1 FalconStor Announces Key Executive Leadership Appointments Turnaround Expertise Added to Accelerate Company?s Reorganization MELVILLE, N.Y., August 17, 2017 ? FalconStor Software, Inc. (NASDAQ: FALC), a market leader in storage software, today announced the appointment of Todd Brooks as Chief Executive Officer and Patrick McClain as Chief Financial Officer, both effective immediately. |
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| August 17, 2017 |
Exhibit 10.4 August 14, 2017 Mr. Patrick McClain 5505 Bentsen Lane Austin, TX 78723 VIA EMAIL: [email protected] Dear Pat: We are excited to work with you as CFO to transform this company. We believe that you will be an outstanding leader for FalconStor and, thereafter, a key relationship not only for the Company but also for its major stakeholders including Hale Capital Partners and the Company’ |
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| August 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 14, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commissi |
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| August 17, 2017 |
Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE (?AGREEMENT?) In return for the mutual promises in this Agreement, FalconStor Software, Inc. (the ?Company?), 2 Huntington Quadrangle, Melville, NY 11747, its predecessor companies, and its and their respective stockholders, affiliates, subsidiaries, divisions, successors and assigns and the current and former employees, officers, directors and |
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| August 11, 2017 |
FALC / FalconStor Software, Inc. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTOR |
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| August 10, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) |
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| August 10, 2017 |
FalconStor Software Announces Second Quarter 2017 Results Exhibit Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Gavin McLaughlin, An Outside Edge Investor, Press and Analyst Relations +1 719 352 3217 / +44 7973 264246 [email protected] FalconStor Software Announces Second Quarter 2017 Results MELVILLE, N.Y., August 10, 2017 ? FalconStor Software, Inc. (NASDAQ: FALC), a market leader in storage software, today announced financial |
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| August 2, 2017 |
FalconStor Software (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 13, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commission |
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| July 25, 2017 |
FALC / FalconStor Software, Inc. / Rubenstein Barry Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 3)1 FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 306137100 (CUSIP Number) Woodland Partners 68 |
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| July 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| June 20, 2017 |
FalconStor Software FORM 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (C |
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| June 20, 2017 |
Exhibit 1 Exhibit 10.1 June 15, 2017 Mr. Todd Oseth 1915 Cantwell Grove Colorado Springs, CO 80906 Dear Todd: The FalconStor Software (the ? Company ?) management team and Board of Directors are excited to work with you to build a great company. We believe that you will be an outstanding leader for FalconStor and, thereafter, a key relationship not only for the Company but also for its major stake |
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| June 20, 2017 |
Exhibit Exhibit 99.1 FalconStor Announces Todd Oseth as President & Chief Executive Officer Industry Executive Brings More Than 30 Years of Experience in Building Businesses MELVILLE, N.Y., June 19, 2017 ? FalconStor Software, Inc. (NASDAQ: FALC), a market leader in storage software, today announced the appointment of Todd Oseth as President and Chief Executive Officer effective July 1, 2017. The |
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| June 20, 2017 |
SEPARATION AGREEMENT AND GENERAL RELEASE (“AGREEMENT”) Exhibit Exhibit 10.2 SEPARATION AGREEMENT AND GENERAL RELEASE (?AGREEMENT?) In return for the mutual promises in this Agreement, FalconStor Software, Inc. (the ?Company?), 2 Huntington Quadrangle, Melville, NY 11747, its predecessor companies, and its and their respective stockholders, affiliates, subsidiaries, divisions, successors and assigns and the current and former employees, officers, direc |
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| June 13, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Co |
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| May 30, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Co |
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| May 10, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Co |
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| May 10, 2017 |
Exhibit Exhibit 99.1 FALCONSTOR ANNOUNCES IT EXPECTS TRADING OF ITS COMMON STOCK WILL BE MOVED FROM NASDAQ TO OTC MARKET GROUP?S OTCQX MARKETPLACE MELVILLE, N.Y., May 10, 2017 - FalconStor Software, Inc. (NASDAQ: FALC) (?FalconStor? or the ?Company?) announced today it does not plan to appeal the delisting of its common stock from The Nasdaq Stock Market (?Nasdaq?) due to the Company?s non-complia |
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| May 5, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTO |
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| May 4, 2017 |
FalconStor Software Announces First Quarter 2017 Results Exhibit Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Dori White, Investor Relations 631-773-5819 [email protected] FalconStor Software Announces First Quarter 2017 Results MELVILLE, N.Y., May 4, 2017 ? FalconStor Software, Inc. (NASDAQ: FALC), a market leader in software-defined storage, today announced financial results for its first quarter ended March 31, 2017 . |
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| May 4, 2017 |
FalconStor Software 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Com |
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| March 28, 2017 |
As filed with the Securities and Exchange Commission on March 28, 2017 Registration No. |
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| March 24, 2017 |
FalconStor Software DEF 14A PROXY Document SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ? Filed by a party other than the registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14(a)-12 FALCONSTOR SOFTWARE, INC. |
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| March 10, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016. OR ¨ TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registran |
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| March 9, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2017 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (C |
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| March 9, 2017 |
FalconStor Software Announces Fourth Quarter 2016 Results Exhibit Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Dori White, Investor Relations 631-773-5819 [email protected] FalconStor Software Announces Fourth Quarter 2016 Results MELVILLE, N.Y., March 9, 2017 - FalconStor Software, Inc. (NASDAQ: FALC), a market leader in software-defined storage, today announced financial results for its fourth quarter ended December 31, |
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| February 14, 2017 |
FalconStor Software SC 13G/A (Passive Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Falconstor Software, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 306137100 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| December 20, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 16, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation |
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| December 8, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) |
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| December 6, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 1, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) |
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| November 29, 2016 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation |
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| November 3, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCO |
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| November 3, 2016 |
AMENDMENT NO. 1 TO INDEPENDENT CONTRACTOR AGREEMENT Exhibit 10.3 AMENDMENT NO. 1 TO INDEPENDENT CONTRACTOR AGREEMENT This Amendment No. 1 (the ?Amendment?), made and effective as of June 24, 2016 (the ?Effective Date?), to the Independent Contractor Agreement (the ?Agreement?) between RFN Prime Marketing, Inc., a Delaware limited liability (?Contractor?) and FalconStor Software, Inc., a Delaware corporation with offices at 2 Huntington Quadrangle, |
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| November 2, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) |
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| November 2, 2016 |
FalconStor Software Announces Third Quarter 2016 Results Exhibit Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Dori White, Investor Relations 631-773-5819 [email protected] FalconStor Software Announces Third Quarter 2016 Results MELVILLE, N.Y., November 2, 2016 ? FalconStor Software ?, Inc. (NASDAQ: FALC), a market leader in software-defined storage, today announced financial results for its third quarter ended September |
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| October 11, 2016 |
FalconStor Software (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 5, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commissi |
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| October 11, 2016 |
FALCONSTOR SOFTWARE INC. KEY EMPLOYEE CHANGE IN CONTROL SEVERANCE AGREEMENT Exhibit 10.1 FALCONSTOR SOFTWARE INC. KEY EMPLOYEE CHANGE IN CONTROL SEVERANCE AGREEMENT This CHANGE IN CONTROL SEVERANCE AGREEMENT (this “Agreement”) is made and entered into as of the 5th day of October, 2016 (the “Effective Date”), by and between FalconStor Software, Inc., a Delaware corporation (the “Company”), and DANIEL MURALE (“Key Employee”). WHEREAS, Key Employee has made or is expected t |
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| August 30, 2016 |
SEPARATION AGREEMENT AND GENERAL RELEASE (“AGREEMENT”) Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE (?AGREEMENT?) In return for the mutual promises in this Agreement, FalconStor Software, Inc. (the ?Company?), 2 Huntington Quadrangle, Melville, NY 11747, its predecessor companies, and its and their respective stockholders, affiliates, subsidiaries, divisions, successors and assigns and the current and former employees, officers, directors and |
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| August 30, 2016 |
FalconStor Software (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 30, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or Other Jurisdiction of Incorporation) (Commissi |
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| August 19, 2016 |
FalconStor Software (Current Report/Significant Event) form8k0463700608182016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction |
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| August 19, 2016 |
FalconStor Software (Current Report/Significant Event) form8k0463700608182016.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction |
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| July 28, 2016 |
Document As filed with the Securities and Exchange Commission on July 28, 2016 Registration No. |
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| July 28, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTOR |
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| July 27, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (C |
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| July 27, 2016 |
Exhibit Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Melissa Keir, Investor Relations 631-773-4334 [email protected] FalconStor Software Announces Second Quarter 2016 Results Total Revenue Increased 9% Sequentially - Total Bookings Increased 18% Sequentially FreeStor Subscription Bookings increased over 200% Sequentially MELVILLE, N.Y., July 27, 2016 — FalconStor |
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| June 3, 2016 |
FalconStor Software SC 13D/A (Activist Acquisition of More Than 5% of Shares) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) FALCONSTOR SOFTWARE, INC. (Name of Issuer) Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 306137100 (CUSIP Number) Martin M. Hale, Jr. 17 State Street, Suite 3230 New York, NY 10004 (212) 751-8800 (Name, Address and Telephone Number of Person |
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| May 20, 2016 |
1,098,652 Shares FalconStor Software, Inc. Common Stock SEC Document Filed Pursuant to Rule 424(b)(5) Registration No. 333-209574 Prospectus Supplement (to Prospectus dated March 7, 2016) 1,098,652 Shares FalconStor Software, Inc. Common Stock This prospectus relates to the offer and sale by us of 1,098,652 shares of our common stock, par value $0.001 per share, that are being offered and sold in connection with services provided under a Software Licen |
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| April 28, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-23970 FALCONSTO |
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| April 27, 2016 |
FalconStor Software Announces First Quarter 2016 Results Exhibit Exhibit 99.1 For more information, contact: FalconStor Software, Inc. Melissa Keir, Investor Relations 631-773-4334 [email protected] FalconStor Software Announces First Quarter 2016 Results MELVILLE, N.Y., April 27, 2016 ? FalconStor Software ?, Inc. (NASDAQ: FALC), a market leader in software-defined storage, today announced financial results for its first quarter ended March 3 |
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| April 27, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commi |
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| April 7, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commis |
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| March 18, 2016 |
DEF 14A SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ? Filed by a party other than the registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to Rule 14a-11(c) or Rule 14(a)-12 FALCONSTOR SOFTWARE, INC. |
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| March 11, 2016 |
FalconStor Software FORM 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2016 FALCONSTOR SOFTWARE, INC. (Exact name of registrant as specified in its charter) Delaware 000-23970 77-0216135 (State or other jurisdiction of incorporation) (Commis |
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| March 11, 2016 |
FalconStor Software FORM 10-K/A (Annual Report) 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015. OR o TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. ( |
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| March 11, 2016 |
FALCONSTOR SOFTWARE INC. KEY EMPLOYEE CHANGE IN CONTROL SEVERANCE AGREEMENT Exhibit Exhibit 10.8 FALCONSTOR SOFTWARE INC. KEY EMPLOYEE CHANGE IN CONTROL SEVERANCE AGREEMENT This CHANGE IN CONTROL SEVERANCE AGREEMENT (this ? Agreement ?) is made and entered into as of the 28th day of October, 2015 (the ? Effective Date ?), by and between FalconStor Software, Inc., a Delaware corporation (the ? Company ?), and Alan Komet (? Key Employee ?). WHEREAS, Key Employee has made or |
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| March 3, 2016 |
cor0463700603032016.htm FalconStor Software, Inc. 2 Huntington Quadrangle Melville, New York 11747 March 3, 2016 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mark Shuman Re: FalconStor Software, Inc. Registration Statement on Form S-3 File No. 333-209574 Dear Mr. Shuman: The undersigned Registrant under the above- |
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| February 17, 2016 |
As filed with the Securities and Exchange Commission on February 17, 2016 As filed with the Securities and Exchange Commission on February 17, 2016 Registration Statement No. |
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| February 17, 2016 |
Exhibit 4.2 FORM OF SENIOR OR SUBORDINATED INDENTURE [FORM OF SENIOR OR SUBORDINATED INDENTURE] FALCONSTOR SOFTWARE, INC. TO [SENIOR/SUBORDINATED] INDENTURE DATED AS OF Table of Contents Page ARTICLE ONE DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01. Definitions 1 Section 1.02. Compliance Certificates and Opinions 9 Section 1.03. Form of Documents Delivered to Trustee 10 S |
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| February 17, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015. OR ? TRANSITION REPORT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 0-23970 FALCONSTOR SOFTWARE, INC. (Exact name of registran |
