Falconstor Software Inc - Amended Statement of Beneficial Ownership (3/A)
August 27 2008 - 7:44PM
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
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3235-0104
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January 31, 2005
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
LAM WAYNE
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/22/2001
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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
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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)
Vice President /
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(Street)
MELVILLE, NY 11747-
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
8/29/2001
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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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9071
(1)
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D
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Common Stock
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19201
(1)
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I
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By Spouse
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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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4/30/2010
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Common Stock
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238213
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$0.35
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D
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Stock Option (right to buy)
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(3)
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10/31/2010
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Common Stock
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50530
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$0.35
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D
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Explanation of Responses:
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(
1)
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This Form 3/A (this ''Amendment'') reflects 5,534 and 19,201 shares of the Company's common stock held by Mr. Lam and his wife, respectively, which were inadvertently excluded from Mr. Lam's original Form 3 filed on August 29, 2001. This Amendment does not reflect any additional transactions since the date the original Form 3 was filed that were not otherwise disclosed on a Form 4.
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(
2)
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The option is immediately exercisable as to 78,610 of the shares subject thereto, exercisable as to 78,610 of the shares subject thereto commencing May 1, 2002 and as to the remaining 80,993 of such shares commencing May 1, 2003.
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(
3)
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The option is exercisable as to 16,675 of the shares subject thereto commencing November 1, 2001, as to 16,675 of the shares subject thereto commencing November 1, 2002 and as to the remaining 17,180 of such shares commencing November 1, 2003.
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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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LAM WAYNE
C/O FALCONSTOR SOFTWARE, INC.
2 HUNTINGTON QUADRANGLE
MELVILLE, NY 11747-
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Vice President
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Signatures
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By: /s/ Wayne Lam
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8/27/2008
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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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