Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FALCONSTOR SOFTWARE INCFALC · Entity 115263 | Director · 10% owner · See Remarks | May 21, 2019 | May 22, 2019 |
| LANTRONIX INCLTRX · Entity 1667 | Director | March 12, 2020 | March 16, 2020 |
| Vislink Technologies, Inc.VISL · Entity 9631 | 10% owner | May 15, 2025 | May 19, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FALCONSTOR SOFTWARE INC
Report date May 21, 2019 · Filed May 22, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 359,718,164 |
Reported balance
After 2019-05-21 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-05-21 · Exercise / conversion · Acquired 1,518,107 · Balance 359,718,164 F2: HCP-FVA, LLC ("HCP-FVA"), a Delaware limited liability company, exercised that certain Backstop Warrant, dated February 23, 2018 (the "Backstop Warrant"), to purchase 1,543,630 shares of common stock (the "Common Stock") of the Issuer on a cashless exercise basis with respect to all 1,543,630 shares issuable upon exercise thereof. As a result of such cashless exercise, HCP-FVA received 1,518,107 shares of Common Stock. F3: The shares of Common Stock reported herein are held by HCP-FVA and HCP. F5: MH is the Chief Executive Officer of HCP, the sole member of HCP-FVA. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnote | 0 |
Reported balance
After 2019-05-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-05-21 · Exercise / conversion · Disposed 1,543,630 · Balance 0 F2: HCP-FVA, LLC ("HCP-FVA"), a Delaware limited liability company, exercised that certain Backstop Warrant, dated February 23, 2018 (the "Backstop Warrant"), to purchase 1,543,630 shares of common stock (the "Common Stock") of the Issuer on a cashless exercise basis with respect to all 1,543,630 shares issuable upon exercise thereof. As a result of such cashless exercise, HCP-FVA received 1,518,107 shares of Common Stock. F4: The Backstop Warrant is presently exercisable and expires on February 23,2028. F5: MH is the Chief Executive Officer of HCP, the sole member of HCP-FVA. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. |
| Common StockSEC Table I · non-derivative | Direct | 70,815 |
Reported balance
Holding disclosure · report date 2019-05-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 70,815 F1: Represents shares of vested Restricted Stock previously granted to Martin Hale, Jr. ("MH") under the Falconstor Software, Inc. 2016 Outside Director Equity Compensation Plan in consideration for services performed as a member of the Board of Directors of Falconstor Software, Inc. (the "Issuer"). MH holds these shares for the benefit of Hale Capital Partners, LP ("HCP"). |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of vested Restricted Stock previously granted to Martin Hale, Jr. ("MH") under the Falconstor Software, Inc. 2016 Outside Director Equity Compensation Plan in consideration for services performed as a member of the Board of Directors of Falconstor Software, Inc. (the "Issuer"). MH holds these shares for the benefit of Hale Capital Partners, LP ("HCP").
F2: HCP-FVA, LLC ("HCP-FVA"), a Delaware limited liability company, exercised that certain Backstop Warrant, dated February 23, 2018 (the "Backstop Warrant"), to purchase 1,543,630 shares of common stock (the "Common Stock") of the Issuer on a cashless exercise basis with respect to all 1,543,630 shares issuable upon exercise thereof. As a result of such cashless exercise, HCP-FVA received 1,518,107 shares of Common Stock.
F3: The shares of Common Stock reported herein are held by HCP-FVA and HCP.
F4: The Backstop Warrant is presently exercisable and expires on February 23,2028.
F5: MH is the Chief Executive Officer of HCP, the sole member of HCP-FVA. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest.
LANTRONIX INC
Report date March 12, 2020 · Filed March 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,031,748 |
Reported balance
After 2020-03-12 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-03-12 · Purchase · Acquired 80,000 · Balance 2,031,748 F1: This transaction was executed in multiple trades. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2: Martin Hale, Jr. holds the common stock listed in this Form 4 for the benefit of Hale Capital Partners, LP. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: Martin Hale, Jr. holds the common stock listed in this Form 4 for the benefit of Hale Capital Partners, LP.
Vislink Technologies, Inc.
Report date May 15, 2025 · Filed May 19, 2025
Jointly reported with Hale Capital Partners, LP, Hale Fund Management, LLC, Hale Capital Management, LP, Hale Fund Partners, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock par value $0.00001 per shareSEC Table I · non-derivative | IndirectSee footnote | 416,503 |
Reported balance
After 2025-05-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-05-15 · Purchase · Acquired 20,500 · Balance 416,503 F1: The shares of Common Stock par value $0.00001 per share (the "Shares") of Vislink Technologies, Inc. are directly beneficially owned by Hale Capital Partners, LP ("HCP"). As the CEO of HCP and managing member of Hale Fund Partners, LLC ("HFP"), Martin M. Hale, Jr. may be deemed to beneficially own the shares. As the general partner of Hale Capital Management, LP ("HCM"), the investment manager of HCP, Hale Fund Management, LLC ("HFM") may be deemed to beneficially own the Shares. As the general partner of HCP, Hale Fund Partners, LLC may be deemed to beneficially own the Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Common Stock par value $0.00001 per share (the "Shares") of Vislink Technologies, Inc. are directly beneficially owned by Hale Capital Partners, LP ("HCP"). As the CEO of HCP and managing member of Hale Fund Partners, LLC ("HFP"), Martin M. Hale, Jr. may be deemed to beneficially own the shares. As the general partner of Hale Capital Management, LP ("HCM"), the investment manager of HCP, Hale Fund Management, LLC ("HFM") may be deemed to beneficially own the Shares. As the general partner of HCP, Hale Fund Partners, LLC may be deemed to beneficially own the Shares.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 23, 2018 Filed Apr 25, 2018 16:00 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | Exercise / conversionCommon Stock | 39,645,783 | $0.00 | $39,645.78 |
DisclosureSEC source: 0001144204-18-022356 · tv491995_4.xml · nonDerivative · entry 3 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 54,820,992 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · shares: HCP-FVA exercised that certain Warrant, dated February 23, 2018, to purchase 41,577,382 shares of Common Stock on a cashless exercise basis with respect to 40,033,752 shares issuable upon exercise thereof. As a result of such cashless exercise, HCP-FVA received 39,645,783 shares of Common Stock and retained the right to purchase 1,543,630 shares of Common Stock under such Warrant. F3 · balance_after: The shares of Common Stock reported herein are held by HCP-FVA and Hale Capital Partners, LP ("HCP"). F3 · ownership.nature: The shares of Common Stock reported herein are held by HCP-FVA and Hale Capital Partners, LP ("HCP"). F5 · ownership.nature: MH is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. Read SEC document |
| April 23, 2018 Filed Apr 25, 2018 16:00 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | Exercise / conversionCommon Stock | 13,724,818 | $0.00 | $13,724.82 |
DisclosureSEC source: 0001144204-18-022356 · tv491995_4.xml · nonDerivative · entry 2 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 15,175,209 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"), exercised that certain Warrant, dated November 17, 2017, to purchase 13,859,128 shares of common stock ("Common Stock") of Falconstor Software, Inc. (the "Issuer") on a cashless exercise basis with respect to all 13,859,128 shares issuable upon exercise thereof. As a result of such cashless exercise, HCP-FVA received 13,724,818 shares of Common Stock. F3 · balance_after: The shares of Common Stock reported herein are held by HCP-FVA and Hale Capital Partners, LP ("HCP"). F3 · ownership.nature: The shares of Common Stock reported herein are held by HCP-FVA and Hale Capital Partners, LP ("HCP"). F5 · ownership.nature: MH is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 07:34 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | GrantWarrants · Derivative | 366,990,000 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001144204-18-011447 · tv487164_form4.xml · derivative · entry 2 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 366,990,000 Underlying: Common Stock · 366,990,000 shares Expires 2028-02-23 F2 · security: The warrants reported herein were issued by the Issuer to HCP-FVA in connection with its purchase of $3,000,000 of units in the Financing upon the closing of the Commitment. The warrants are exercisable following receipt of stockholder approval to amend the Issuer's Certificate of Incorporation to increase the number of authorized shares of its common stock in order to permit the exercise of the warrants. F2 · price: The warrants reported herein were issued by the Issuer to HCP-FVA in connection with its purchase of $3,000,000 of units in the Financing upon the closing of the Commitment. The warrants are exercisable following receipt of stockholder approval to amend the Issuer's Certificate of Incorporation to increase the number of authorized shares of its common stock in order to permit the exercise of the warrants. F2 · derivative.exercise_date: The warrants reported herein were issued by the Issuer to HCP-FVA in connection with its purchase of $3,000,000 of units in the Financing upon the closing of the Commitment. The warrants are exercisable following receipt of stockholder approval to amend the Issuer's Certificate of Incorporation to increase the number of authorized shares of its common stock in order to permit the exercise of the warrants. F3 · ownership.nature: Martin Hale, Jr. ("MH") is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. Read SEC document |
| February 23, 2018 Filed Feb 28, 2018 07:34 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | GrantWarrants · Derivative | 41,577,382 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001144204-18-011447 · tv487164_form4.xml · derivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 41,577,382 Underlying: Common Stock · 41,577,382 shares Expires 2028-02-23 F1 · security: The warrants reported herein were issued by Falconstor Software, Inc. (the "Issuer") to HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"), in consideration for HCP-FVA backstopping that certain private placement of units (the "Financing") contemplated by that certain commitment letter, dated as of November 17, 2017, by and between Hale Capital Partners, LP ("HCP") and the Issuer (the "Commitment"). F1 · price: The warrants reported herein were issued by Falconstor Software, Inc. (the "Issuer") to HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"), in consideration for HCP-FVA backstopping that certain private placement of units (the "Financing") contemplated by that certain commitment letter, dated as of November 17, 2017, by and between Hale Capital Partners, LP ("HCP") and the Issuer (the "Commitment"). F3 · ownership.nature: Martin Hale, Jr. ("MH") is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 16:00 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | GrantWarrants · Derivative | 13,859,128 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001144204-17-060402 · tv479962_form4.xml · derivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 13,859,128 Underlying: Common Stock · 13,859,128 shares Expires 2027-11-17 F1 · price: The warrants reported herein were issued by Falconstor Software, Inc. (the "Issuer") to HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"), in connection with (i) a loan made to the Issuer by HCP-FVA in the principal amount of $500,000 and (ii) a commitment from Hale Capital Partners, LP ("HCP") to purchase up to $3,000,000 worth of units from the Issuer in a proposed private placement of units subject to, and on the terms and conditions set forth in, that certain commitment letter, dated as of November 17, 2017, by and between HCP and the Issuer. F2 · ownership.nature: The warrants to purchase shares of common stock of the Issuer reported herein are held by HCP-FVA. F3 · ownership.nature: Martin Hale, Jr. ("MH") is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. Read SEC document |
| November 14, 2017 Filed Nov 16, 2017 21:52 UTC | LANTRONIX INC LTRX · Entity 1667 | GrantStock Option (Right to buy) · Derivative | 25,000 | $0.00 Strike: $1.92 | $0.00 |
DisclosureSEC source: 0001683168-17-003072 · hale_frm4.xml · derivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2024-11-14 F1 · derivative.exercise_date: The options shall vest in twelve equal monthly installments, with the first installment vesting on December 14, 2017 and the final installment vesting on November 14, 2018. F2 · ownership.direct: Martin Hale, Jr. holds the stock options listed in this Form 4 (and any shares of Common Stock issuable upon exercise thereof) for the benefit of Hale Capital Partners, LP. Read SEC document |
| May 08, 2017 Filed May 9, 2017 18:19 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | GrantCommon Stock | 22,821 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-17-001366 · form404637006a_05092017.xml · nonDerivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,032 F1 · shares: Represents shares of Restricted Stock granted to Martin Hale, Jr. ("MH") under the Issuer's 2016 Outside Directors Equity Compensation Plan in consideration for services performed as a member of the Board of Directors of the Issuer for the first quarter of 2017. The shares of Restricted Stock were fully vested on the date of grant. F2 · balance_after: MH holds these shares for the benefit of Hale Capital Partners, LP, a Delaware limited partnership ("HCP"), via HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"). Read SEC document |
| May 03, 2017 Filed May 5, 2017 18:00 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | GrantCommon Stock | 94,117 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-17-001318 · form404637006a_05052017.xml · nonDerivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,211 F1 · shares: Represents shares of Restricted Stock granted to Martin Hale, Jr. ("MH") under the Issuer's 2016 Outside Directors Equity Compensation Plan. The restrictions will lapse as follows: on May 3, 2018 as to 33%, on May 3, 2019 as to 33%, and on May 3, 2020 as to the remaining 34%. F2 · balance_after: MH holds these shares for the benefit of Hale Capital Partners, LP, a Delaware limited partnership ("HCP"), via HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"). Read SEC document |
| March 13, 2017 Filed Mar 15, 2017 17:26 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | GrantCommon Stock | 13,019 | $0.00 | $0.00 |
DisclosureSEC source: 0000921895-17-000713 · form404637006g_03152017.xml · nonDerivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,094 F1 · shares: Represents shares of Restricted Stock granted to Martin Hale, Jr. ("MH") under the Issuer's 2016 Outside Directors Equity Compensation Plan in consideration for services performed as a member of the Board of Directors of the Issuer for the fourth quarter of 2016. The shares of Restricted Stock were fully vested on the date of grant. F2 · balance_after: MH holds these shares for the benefit of Hale Capital Partners, LP, a Delaware limited partnership ("HCP"), via HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"). Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 21:30 UTC | LANTRONIX INC LTRX · Entity 1667 | GrantStock Option (Right to buy) · Derivative | 25,000 | $0.00 Strike: $1.38 | $0.00 |
DisclosureSEC source: 0001683168-16-000724 · hale_f4.xml · derivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2023-11-16 F1 · derivative.exercise_date: The options shall vest in twelve equal monthly installments, with the first installment vesting on December 16, 2016 and the final installment vesting on November 16, 2017. F2 · ownership.direct: Martin Hale, Jr. holds the stock options listed in this Form 4 (and any shares of Common Stock issuable upon exercise thereof) for the benefit of Hale Capital Partners, LP. Read SEC document |
| November 04, 2016 Filed Nov 8, 2016 14:36 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | GrantCommon Stock | 15,075 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-132371 · v452453_form4.xml · nonDerivative · entry 2 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,075 F4 · shares: Represents shares of Restricted Stock granted to MH under the Falconstor Software 2016 Outside Directors Equity Compensation Plan in consideration for services performed as a member of the Board of Directors of the Issuer for the second and third quarters of 2016. The shares of Restricted Stock were fully vested on the date of grant. F5 · balance_after: MH holds these shares for the benefit of HCP via HCP-FVA. Read SEC document |
| November 04, 2016 Filed Nov 8, 2016 14:36 UTC | FALCONSTOR SOFTWARE INC FALC · Entity 115263 | OtherCommon Stock | 191,010 | $1.02 | $194,830.20 |
DisclosureSEC source: 0001144204-16-132371 · v452453_form4.xml · nonDerivative · entry 1 HALE MARTIN M JR · CIK 0001272935 · Director · 10% owner · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,450,391 F1 · shares: The shares of common stock (the "Common Stock") of Falconstor Software Inc. (the "Issuer") were issued to HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"), upon conversion of the accrued dividends due and owing to HCP-FVA, in respect of the Series A Preferred Stock of the Issuer (the "Series A Preferred Stock") held by HCP-FVA, for the quarterly period ending September 30, 2016 in accordance with the Certificate of Designations, Preferences and Rights of the Series A Preferred Stock. F1 · price: The shares of common stock (the "Common Stock") of Falconstor Software Inc. (the "Issuer") were issued to HCP-FVA, LLC, a Delaware limited liability company ("HCP-FVA"), upon conversion of the accrued dividends due and owing to HCP-FVA, in respect of the Series A Preferred Stock of the Issuer (the "Series A Preferred Stock") held by HCP-FVA, for the quarterly period ending September 30, 2016 in accordance with the Certificate of Designations, Preferences and Rights of the Series A Preferred Stock. F2 · ownership.nature: The shares of Common Stock reported herein are held by Hale Capital Partners, LP, a Delaware limited partnership ("HCP"), and HCP-FVA. F3 · ownership.nature: Martin Hale, Jr. ("MH") is the Chief Executive Officer of HCP. MH is also (i) the sole owner and managing member of Hale Fund Partners, LLC, a Delaware limited liability company ("HFP"), the general partner of HCP and (ii) the sole owner and Chief Executive Officer of Hale Fund Management, LLC, a Delaware limited liability company ("HFM"). HFM is (i) the general partner of Hale Capital Management, LP ("HCM"), the manager of HCP and (ii) the manager of HCP-FVA. Each of MH, HFP, HFM and HCM disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.