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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/23/23 Falconstor Software Inc. 10-K 12/31/22 110:15M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 3.42M
2: EX-4 Ex-4.8 HTML 44K
3: EX-10 Ex-10.11 HTML 44K
4: EX-23 Ex-23.1 HTML 31K
5: EX-31 Ex-31.1 HTML 37K
6: EX-31 Ex-31.2 HTML 37K
7: EX-32 Ex-32.1 HTML 34K
8: EX-32 Ex-32.2 HTML 34K
14: R1 Cover HTML 99K
15: R2 Consolidated Balance Sheets HTML 150K
16: R3 Consolidated Balance Sheets (Parenthetical) HTML 56K
17: R4 Condensed Consolidated Statements of Operations HTML 125K
18: R5 Consolidated Statements of Comprehensive Loss HTML 64K
(Unaudited)
19: R6 Consolidated Statements of Stockholders' Deficit HTML 87K
20: R7 Consolidated Statements of Cash Flows HTML 135K
21: R8 Summary of Significant Accounting Policies HTML 490K
22: R9 Property and Equipment HTML 41K
23: R10 Fair Value Measurements HTML 156K
24: R11 Accrued Expenses HTML 57K
25: R12 Income Taxes HTML 213K
26: R13 Accumulated Other Comprehensive Loss HTML 121K
27: R14 Notes Payable HTML 65K
28: R15 Series A Redeemable Convertible Preferred Stock HTML 120K
29: R16 Stockholders' Equity HTML 46K
30: R17 Share-Based Payment Arrangements HTML 177K
31: R18 Commitments and Contingencies HTML 51K
32: R19 Derivative Financial Instruments HTML 40K
33: R20 Litigation HTML 42K
34: R21 Restructuring Costs HTML 99K
35: R22 Employee Benefit Plans HTML 126K
36: R23 Segment Reporting and Concentrations HTML 87K
37: R24 Valuation and Qualifying Accounts - Allowance for HTML 56K
Returns and Doubtful Accounts
38: R25 Related Party Transactions HTML 39K
39: R26 Subsequent Events HTML 37K
40: R27 Summary of Significant Accounting Policies HTML 535K
(Policies)
41: R28 Summary of Significant Accounting Policies HTML 398K
(Tables)
42: R29 Fair Value Measurements (Tables) HTML 143K
43: R30 Accrued Expenses (Tables) HTML 56K
44: R31 Income Taxes (Tables) HTML 196K
45: R32 Accumulated Other Comprehensive Loss (Tables) HTML 119K
46: R33 Notes Payable (Tables) HTML 51K
47: R34 Series A Redeemable Convertible Preferred Stock HTML 103K
(Tables)
48: R35 Share-Based Payment Arrangements (Tables) HTML 171K
49: R36 Restructuring Costs (Tables) HTML 92K
50: R37 Employee Benefit Plans (Tables) HTML 112K
51: R38 Segment Reporting and Concentrations (Tables) HTML 80K
52: R39 Valuation and Qualifying Accounts - Allowance for HTML 53K
Returns and Doubtful Accounts (Tables)
53: R40 Summary of Significant Accounting Policies - HTML 120K
Additional Information (Details)
54: R41 Summary of Significant Accounting Policies - HTML 71K
Revision of Previously Issued Financial Statements
- Balance Sheet (Details)
55: R42 Summary of Significant Accounting Policies - HTML 101K
Revision of Previously Issued Financial Statements
- Statement of Operations (Details)
56: R43 Summary of Significant Accounting Policies - HTML 55K
Revision of Previously Issued Financial Statements
- Statement of Comprehensive Income (Loss)
(Details)
57: R44 Summary of Significant Accounting Policies - HTML 60K
Revision of Previously Issued Financial Statements
- Statement of Stockholders' Deficit (Details)
58: R45 Summary of Significant Accounting Policies - HTML 59K
Revision of Previously Issued Financial Statements
- Statement of Cash Flows (Details)
59: R46 Summary of Significant Accounting Policies - HTML 39K
Schedule of Changes in Deferred Revenue (Details)
60: R47 Summary of Significant Accounting Policies - HTML 39K
Summary of ROU Assets and Liabilities (Details)
61: R48 Summary of Significant Accounting Policies - HTML 37K
Components of Lease Expense (Details)
62: R49 Summary of Significant Accounting Policies - HTML 41K
Summary of Future Minimum Lease Payments of ROU
Assets over Remaining Lease (Details)
63: R50 Summary of Significant Accounting Policies - HTML 44K
Schedule of Gross Carrying Amount and Accumulated
Amortization of Goodwill and Other Intangible
Assets (Details)
64: R51 Summary of Significant Accounting Policies - HTML 38K
Software Development Costs Table (Details)
65: R52 Summary of Significant Accounting Policies - HTML 39K
Schedule of Anti-dilutive Common Stock Equivalents
that were Excluded from Computation of Diluted
Shares Outstanding (Details)
66: R53 Summary of Significant Accounting Policies - HTML 77K
Earnings per Share (Details)
67: R54 Property and Equipment - Additional Information HTML 43K
(Details)
68: R55 Fair Value Measurements - Additional Information HTML 39K
(Details)
69: R56 Fair Value Measurements - Schedule of Fair Value HTML 48K
Assets and Liabilities Measured On Recurring Basis
(Details)
70: R57 Fair Value Measurements - Summary of Fair Value HTML 39K
Measurements using Significant Unobservable Inputs
(Details)
71: R58 Accrued Expenses - Schedule of Accrued Expenses HTML 43K
(Details)
72: R59 Income Taxes - Schedule of Income (Loss) Before HTML 68K
Income Taxes (Details)
73: R60 Income Taxes - Schedule of Deferred Tax Assets and HTML 76K
Liabilities (Details)
74: R61 Income Taxes - Additional Information (Details) HTML 68K
75: R62 Income Taxes - Schedule of Effective Tax Rate HTML 62K
Reconcillation (Details)
76: R63 Income Taxes - Schedule of Unrecognized Tax HTML 40K
Benefits (Details)
77: R64 Accumulated Other Comprehensive Loss - Schedule of HTML 56K
Changes in Accumulated Other Comprehensive Loss,
Net of Tax (Details)
78: R65 Notes Payable - Schedule of Notes Payable HTML 56K
(Details)
79: R66 Notes Payable - Additional Information (Details) HTML 63K
80: R67 Series A Redeemable Convertible Preferred Stock - HTML 70K
Additional Information (Details)
81: R68 Series A Redeemable Convertible Preferred Stock - HTML 42K
Schedule of Components of Series A Preferred Stock
(Details)
82: R69 Series A Redeemable Convertible Preferred Stock - HTML 37K
Series A Redeemable Convertible Preferred Stock
(Recognition) (Details))
83: R70 Series A Redeemable Convertible Preferred Stock - HTML 36K
Series A Redeemable Convertible Preferred Stock -
Probability and Volatility Assumptions (Details)
84: R71 Series A Redeemable Convertible Preferred Stock - HTML 52K
Series A Redeemable Convertible Preferred Stock
Effect on Net Income (Details)
85: R72 Stockholders' Equity - Additional Information HTML 49K
(Details)
86: R73 Share-Based Payment Arrangements - Additional HTML 56K
Information (Details)
87: R74 Share-Based Payment Arrangements - Summary of HTML 41K
Stock Option plan (Details)
88: R75 Share-Based Payment Arrangements - Schedule of HTML 41K
Equity Awards Outstanding (Details)
89: R76 Share-Based Payment Arrangements - Stock Option HTML 82K
Activity (Details)
90: R77 Share-Based Payment Arrangements - Summary of HTML 43K
Share-Based Compensation Expense (Details)
91: R78 Share-Based Payment Arrangements - Share-Based HTML 37K
Compensation Expense for Restricted Stock Awards
(Details)
92: R79 Share-Based Payment Arrangements - Summary of HTML 41K
Restricted Stock Activity (Details)
93: R80 Commitments and Contingencies - Additional HTML 63K
Information (Details)
94: R81 Derivative Financial Instruments - Additional HTML 44K
Information (Details)
95: R82 Litigation - Additional Information (Details) HTML 38K
96: R83 Restructuring Costs - Additional Information HTML 49K
(Details)
97: R84 Restructuring Costs - Summary of Restructuring HTML 51K
Liabilities Recorded in Connection with 2017, 2019
and 2020 Plans (Details)
98: R85 Employee Benefit Plans - Additional Information HTML 66K
(Details)
99: R86 Employee Benefit Plans - Pension Information HTML 63K
(Details)
100: R87 Employee Benefit Plans - Components of Net HTML 50K
Periodic Pension Cost (Details)
101: R88 Employee Benefit Plans - Employee Benefit Plans HTML 38K
Assumptions in Computing Benefit Obligation
(Details)
102: R89 Segment Reporting and Concentrations - Schedule of HTML 48K
Revenues and Long Lived Assets by Geographical
Areas (Details)
103: R90 Segment Reporting and Concentrations - Additional HTML 34K
Information (Details)
104: R91 Valuation and Qualifying Accounts - Allowance for HTML 38K
Returns and Doubtful Accounts - Schedule of
Valuation Accounts (Details)
105: R92 Related Party Transactions - Additional HTML 42K
Information (Details)
108: XML IDEA XML File -- Filing Summary XML 207K
106: XML XBRL Instance -- falc-20221231_htm XML 3.98M
107: EXCEL IDEA Workbook of Financial Reports XLSX 200K
13: EX-101.CAL XBRL Calculations -- falc-20221231_cal XML 247K
10: EX-101.DEF XBRL Definitions -- falc-20221231_def XML 798K
9: EX-101.LAB XBRL Labels -- falc-20221231_lab XML 1.79M
11: EX-101.PRE XBRL Presentations -- falc-20221231_pre XML 1.37M
12: EX-101.SCH XBRL Schema -- falc-20221231 XSD 228K
109: JSON XBRL Instance as JSON Data -- MetaLinks 597± 982K
110: ZIP XBRL Zipped Folder -- 0000950170-23-009553-xbrl Zip 479K
| EX-4 |
Exhibit 4.8
LETTER AGREEMENT
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”), dated June 22, 2018 (the “Certificate of Designations”) and (ii) that certain Preferred Stock Purchase Agreement, dated as of September 16, 2013 (the “Purchase Agreement”) by and between the Company and Hale Capital Partners, LP (the “Majority Holder”). Capitalized terms used herein and not otherwise defined shall have the meanings assigned to such terms in the Certificate of Designations.
In order to facilitate the Company’s ongoing operations, the Majority Holder hereby acknowledges and agrees that the Majority Holder (i) will not deliver an Optional Redemption Notice to the Company pursuant to Section 8(a) of the Certificate of Designations on or prior to June 30, 2024, and (ii) will not approve of any exercise of redemption rights under the Certificate of Designations attempted by any holder of Series A Preferred Stock on or prior to June 30, 2024, pursuant to Section 10(d) of the Certificate of Designations; provided, that, the foregoing shall not apply to (i) any exercise of redemption rights relating to, and any redemption of, the Series A Preferred Stock in accordance with Section 8(e)(z) of the Certificate of Designations, (ii) any exercise of redemption rights relating to, and any redemption of, the Series A Preferred Stock in accordance with a Breach Event arising from a breach of Section 6(g) of the Certificate of Designations, and (iii) in the event of a Fundamental Transaction. For the avoidance of doubt, nothing in this Letter Agreement shall affect the Borrower’s obligations or the Majority Holder’s rights with respect to a Fundamental Transaction.
This letter agreement shall be governed by and construed in accordance with the laws of the State of New York, without regard to the conflicts of law rules of such state, and may be executed in counterparts, all of which shall be considered one and the same agreement and shall become effective when counterparts have been signed by each of the parties and delivered to the other parties, it being understood that all parties need not sign the same counterpart. The parties acknowledge and agree that the foregoing provisions and agreements constitute due and valid consideration for this letter agreement and its bargained-for provisions, the receipt and sufficiency is hereby acknowledged by each of the parties.
If the foregoing is acceptable to you, please execute the acknowledgment and agreement below, whereupon this letter agreement shall become effective as of the date first written above.
[Signature Page Below]
1" = "1" "11959618-2" "" 11959618-2
Sincerely,
FalconStor Software, Inc. |
|
By: |
/s/ Vincent Sita |
Name: Title: |
EVP and Chief Financial Officer |
ACKNOWLEDGED AND AGREED: |
|
Hale Capital Partners, LP |
|
By: |
/s/ Martin Hale, Jr. |
Name: Title: |
Chief Executive Officer |
HCP-FVA, LLC |
|
By: |
/s/ Martin Hale, Jr. |
Name: Title: |
Chief Executive Officer |
[Signature Page to Letter Agreement Regarding Redemption of Series A Preferred]
1" = "1" "11959618-2" "" 11959618-2
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 6/30/24 | ||||
| Filed on: | 3/23/23 | |||
| 2/10/23 | ||||
| For Period end: | 12/31/22 | |||
| 6/22/18 | 8-K, DEF 14A | |||
| 9/16/13 | 3, 8-K | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/10/23 Falconstor Software Inc. 10-Q 3/31/23 86:8.7M Donnelley … Solutions/FA |