Initial Statement of Beneficial Ownership (3)
27 September 2016 - 7:32AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Murale Daniel
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2. Date of Event Requiring Statement (MM/DD/YYYY)
9/15/2016
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3. Issuer Name
and
Ticker or Trading Symbol
FALCONSTOR SOFTWARE INC [FALC]
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(Last)
(First)
(Middle)
C/O FALCONSTOR SOFTWARE, INC., 2 HUNTINGTON QUADRANGLE, SUITE 2S01
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
VP of Finance & Interim CFO /
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(Street)
MELVILLE, NY 11747
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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3315
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D
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Common Stock
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6700
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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(2)
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7/3/2023
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Common Stock
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15000
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$1.15
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D
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Stock Option (right to buy)
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(3)
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2/18/2026
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Common Stock
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50000
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$1.49
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D
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Explanation of Responses:
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(
1)
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Represents shares of restricted stock granted on April 21, 2015 under the Company's 2006 Incentive Stock Plan, as amended, of which 3,300 vest on April 21, 2017 and 3,400 vest on April 21, 2018.
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(
2)
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These options were granted on July 3, 2013 under the Company's 2006 Incentive Stock Plan, as amended, 1/3 of which vested on each of the next three anniversaries of the grant date.
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(
3)
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These options were granted on February 18, 2016 under the Company's 2006 Incentive Stock Plan, as amended, 1/3 of which vest on each of the next three anniversaries of the grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Murale Daniel
C/O FALCONSTOR SOFTWARE, INC.
2 HUNTINGTON QUADRANGLE, SUITE 2S01
MELVILLE, NY 11747
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VP of Finance & Interim CFO
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Signatures
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/s/ Daniel Murale
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9/26/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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