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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/09/22 Falconstor Software Inc. 10-Q 9/30/22 93:12M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 3.53M
2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 48K
3: EX-10.1 Material Contract HTML 44K
4: EX-31.1 Certification -- §302 - SOA'02 HTML 33K
5: EX-31.2 Certification -- §302 - SOA'02 HTML 33K
6: EX-32.1 Certification -- §906 - SOA'02 HTML 29K
7: EX-32.2 Certification -- §906 - SOA'02 HTML 29K
13: R1 Cover HTML 81K
14: R2 Condensed Consolidated Balance Sheets HTML 143K
15: R3 Condensed Consolidated Balance Sheets HTML 52K
(Parenthetical)
16: R4 Condensed Consolidated Statements of Operations HTML 123K
(Unaudited)
17: R5 Condensed Consolidated Statements of Comprehensive HTML 57K
Loss (Unaudited)
18: R6 Condensed Consolidated Statements of Stockholders' HTML 108K
Deficit (Unaudited)
19: R7 Condensed Consolidated Statements of Cash Flows HTML 125K
(Unaudited)
20: R8 Basis of Presentation HTML 288K
21: R9 Summary of Significant Accounting Policies HTML 154K
22: R10 Earnings Per Share HTML 71K
23: R11 Property and Equipment HTML 53K
24: R12 Software Development Costs HTML 52K
25: R13 Goodwill and Other Intangible Assets HTML 57K
26: R14 Share-Based Payment Arrangements HTML 136K
27: R15 Income Taxes HTML 40K
28: R16 Notes Payable HTML 51K
29: R17 Fair Value Measurements HTML 171K
30: R18 Commitments and Contingencies HTML 47K
31: R19 Series A Redeemable Convertible Preferred Stock HTML 78K
32: R20 Accumulated Other Comprehensive Loss HTML 171K
33: R21 Stockholders' Equity HTML 43K
34: R22 Litigation HTML 33K
35: R23 Segment Reporting and Concentrations HTML 107K
36: R24 Restructuring Costs HTML 165K
37: R25 Basis of Presentation (Policies) HTML 84K
38: R26 Basis of Presentation (Tables) HTML 247K
39: R27 Summary of Significant Accounting Policies HTML 123K
(Tables)
40: R28 Earnings Per Share (Tables) HTML 69K
41: R29 Property and Equipment (Tables) HTML 48K
42: R30 Software Development Costs (Tables) HTML 48K
43: R31 Goodwill and Other Intangible Assets (Tables) HTML 53K
44: R32 Share-Based Payment Arrangements (Tables) HTML 136K
45: R33 Notes Payable (Tables) HTML 45K
46: R34 Fair Value Measurements (Tables) HTML 162K
47: R35 Series A Redeemable Convertible Preferred Stock HTML 52K
(Tables)
48: R36 Accumulated Other Comprehensive Loss (Tables) HTML 170K
49: R37 Segment Reporting and Concentrations (Tables) HTML 98K
50: R38 Restructuring Costs (Tables) HTML 159K
51: R39 Basis of Presentation - Additional Information HTML 68K
(Details)
52: R40 Basis of Presentation - Revision of Previously HTML 78K
Issued Financial Statements - Consolidated
Statement of Operations (Details)
53: R41 Basis of Presentation - Revision of Previously HTML 54K
Issued Financial Statements - Consolidated
Statement of Comprehensive Income (Loss) (Details)
54: R42 Basis of Presentation - Revision of Previously HTML 59K
Issued Financial Statements - Consolidated
Statement of Stockholders' Deficit (Details)
55: R43 Basis of Presentation - Revision of Previously HTML 56K
Issued Financial Statements - Consolidated
Statement of Cash Flows (Details)
56: R44 Summary of Significant Accounting Policies - HTML 47K
Additional Information (Details)
57: R45 Summary of Significant Accounting Policies - HTML 35K
Schedule of Changes in Deferred Revenue (Details)
58: R46 Summary of Significant Accounting Policies - HTML 39K
Summary of ROU Assets and Liabilities (Details)
59: R47 Summary of Significant Accounting Policies - HTML 33K
Components of Lease Expense (Details)
60: R48 Summary of Significant Accounting Policies - HTML 37K
Summary of Future Minimum Lease Payments of ROU
Assets over Remaining Lease (Details)
61: R49 Earnings Per Share - Schedule of Anti-dilutive HTML 38K
Common Stock Equivalents that were Excluded from
Computation of Diluted Shares Outstanding
(Details)
62: R50 Property and Equipment - Schedule of Gross HTML 34K
Carrying Amount and Accumulated Depreciation of
Property and Equipment (Details)
63: R51 Property and Equipment - Additional Information HTML 29K
(Details)
64: R52 Software Development Costs - Summary of Gross HTML 33K
Carrying Amount and Accumulated Amortization of
Software Development Costs (Details)
65: R53 Software Development Costs - Additional HTML 29K
Information (Details)
66: R54 Goodwill and Other Intangible Assets - Schedule of HTML 39K
Gross Carrying Amount and Accumulated Amortization
of Goodwill and Other Intangible Assets (Details)
67: R55 Goodwill and Other Intangible Assets - Additional HTML 29K
Information (Details)
68: R56 Share-Based Payment Arrangements - Additional HTML 32K
Information (Details)
69: R57 Share-Based Payment Arrangements - Summary of HTML 35K
Stock Option plan (Details)
70: R58 Share-Based Payment Arrangements - Schedule of HTML 36K
Equity Awards Outstanding (Details)
71: R59 Share-Based Payment Arrangements - Summary of HTML 37K
Restricted Stock Activity (Details)
72: R60 Share-Based Payment Arrangements - Summary of HTML 42K
Share-Based Compensation Expense (Details)
73: R61 Income Taxes - Additional Information (Details) HTML 37K
74: R62 Notes Payable - Schedule of Notes Payable HTML 34K
(Details)
75: R63 Notes Payable - Additional Information (Details) HTML 40K
76: R64 Fair Value Measurements - Schedule of Fair Value HTML 46K
Assets and Liabilities Measured On Recurring Basis
(Details)
77: R65 Fair Value Measurements - Additional Information HTML 36K
(Details)
78: R66 Fair Value Measurements - Summary of Fair Value HTML 33K
Measurements using Significant Unobservable Inputs
(Details)
79: R67 Fair Value Measurements - Summary of Derivative HTML 32K
Probability and Volatility Assumptions (Details)
80: R68 Commitments and Contingencies - Additional HTML 59K
Information (Details)
81: R69 Series A Redeemable Convertible Preferred Stock - HTML 74K
Additional Information (Details)
82: R70 Series A Redeemable Convertible Preferred Stock - HTML 37K
Schedule of Components of Series A Preferred Stock
(Details)
83: R71 Accumulated Other Comprehensive Loss - Schedule of HTML 49K
Changes in Accumulated Other Comprehensive Loss,
Net of Tax (Details)
84: R72 Stockholders' Equity - Additional Information HTML 46K
(Details)
85: R73 Segment Reporting and Concentrations - Schedule of HTML 45K
Revenues and Long Lived Assets by Geographical
Areas (Details)
86: R74 Segment Reporting and Concentrations - Additional HTML 30K
Information (Details)
87: R75 Restructuring Costs - Additional Information HTML 45K
(Details)
88: R76 Restructuring Costs - Summary of Restructuring HTML 53K
Liabilities Recorded in Connection with 2017, 2019
and 2020 Plans (Details)
91: XML IDEA XML File -- Filing Summary XML 172K
89: XML XBRL Instance -- falc-20220930_htm XML 3.28M
90: EXCEL IDEA Workbook of Financial Reports XLSX 157K
12: EX-101.CAL XBRL Calculations -- falc-20220930_cal XML 160K
9: EX-101.DEF XBRL Definitions -- falc-20220930_def XML 479K
11: EX-101.LAB XBRL Labels -- falc-20220930_lab XML 1.13M
10: EX-101.PRE XBRL Presentations -- falc-20220930_pre XML 863K
8: EX-101.SCH XBRL Schema -- falc-20220930 XSD 165K
92: JSON XBRL Instance as JSON Data -- MetaLinks 379± 604K
93: ZIP XBRL Zipped Folder -- 0000950170-22-023974-xbrl Zip 342K
| EX-4.1 |
Exhibit 4.1
LETTER AGREEMENT
Hale Capital Partners, LP
17 State Street, Suite 4000
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 December 31, 2023, 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 December 31, 2023, 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]
6431879-2
Sincerely,
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FalconStor Software, Inc. |
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By: |
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Name: Title: |
Vincent Sita Chief Financial Officer
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ACKNOWLEDGED AND AGREED:
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Hale Capital Partners, LP |
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By: |
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Name: Title: |
Martin Hale, Jr. Chief Executive Officer |
HCP-FVA, LLC |
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By: |
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Name: Title: |
Martin Hale, Jr. Chief Executive Officer |
[Signature Page to Letter Agreement Regarding Redemption of Series A Preferred]
6431879-2
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 12/31/23 | ||||
| Filed on: | 11/9/22 | 8-K | ||
| For Period end: | 9/30/22 | |||
| 7/19/22 | ||||
| 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 3/23/23 Falconstor Software Inc. 10-K 12/31/22 110:15M Donnelley … Solutions/FA |