4//SEC Filing
HCP-FVA, LLC 4
Accession 0001144204-18-022358
CIK 0000922521other
Filed
Apr 24, 8:00 PM ET
Accepted
Apr 25, 4:00 PM ET
Size
12.3 KB
Accession
0001144204-18-022358
Insider Transaction Report
Form 4
HCP-FVA, LLC
Director10% Owner
Transactions
- Exercise/Conversion
Warrants
2018-04-23−40,033,752→ 1,543,630 totalExercise: $0.00From: 2018-02-23Exp: 2028-02-23→ Common Stock (39,645,783 underlying) - Exercise/Conversion
Common Stock
2018-04-23$0.00/sh+13,724,818$13,725→ 14,576,172 total - Exercise/Conversion
Warrants
2018-04-23−13,859,128→ 0 totalExercise: $0.00From: 2017-11-17Exp: 2027-11-17→ Common Stock (13,724,818 underlying) - Exercise/Conversion
Common Stock
2018-04-23$0.00/sh+39,645,783$39,646→ 54,221,955 total
Footnotes (3)
- [F1]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.
- [F2]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]As set forth in HCP-FVA's previous filings, HCP-FVA also holds that certain Warrant, dated February 23, 2018, to purchase 366,990,000 shares of Common Stock and shares of Series A Convertible Preferred Stock of the Issuer that are convertible into 8,781,515 shares of Common Stock.
Documents
Issuer
FALCONSTOR SOFTWARE INC
CIK 0000922521
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001723425
Filing Metadata
- Form type
- 4
- Filed
- Apr 24, 8:00 PM ET
- Accepted
- Apr 25, 4:00 PM ET
- Size
- 12.3 KB