-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Wp7G9wb8AHIGRTrZHp6SX0ONPq3f3UHaCPFSKYLieF54sJi5or42jjnZQBR+nXhC Ha2npyEgE7Wxahcwk2MAkA== 0000950005-01-000311.txt : 20010223 0000950005-01-000311.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950005-01-000311 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CROSSROADS SYSTEMS INC CENTRAL INDEX KEY: 0001093207 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 742846643 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-57603 FILM NUMBER: 1544764 BUSINESS ADDRESS: STREET 1: 8300 NORTH MOPAC EXPRESSWAY CITY: AUSTIN STATE: TX ZIP: 78759 BUSINESS PHONE: 5123490300 MAIL ADDRESS: STREET 1: 9390 RESEARCH BOULEVARD SUITE II-300 CITY: AUSTIN STATE: TX ZIP: 78759 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AUSTIN VENTURES IV A LP CENTRAL INDEX KEY: 0001106472 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 742717230 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 701 N BRAZOS SUITE 1400 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 5124763952 MAIL ADDRESS: STREET 1: 701 N BRAZOS ST SUITE 1400 CITY: AUSTIN STATE: TX ZIP: 78701 SC 13G/A 1 0001.txt FORM SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No.1)* Crossroads Systems, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 22765D100 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) Page 1 of 25 Exhibit Index on Page 23 - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 2 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Austin Ventures IV-A, L.P. ("AV IV-A") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 1,343,369 shares, except that AV Partners IV, OWNED BY EACH L.P. ("AVP IV"), the general partner of AV REPORTING IV-A, may be deemed to have sole power to PERSON vote these shares, and Joseph C. Aragona WITH ("Arogona"), Kenneth P. DeAngelis ("DeAngelis"), Jeffery C. Garvey ("Garvey) and William P. Wood ("Wood"), the general partners of AVP IV, may be deemed to have shared power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,343,369 shares, except that AVP IV, the general partner of AV IV-A, may be deemed to have sole power to dispose of these shares, and Aragona, DeAngelis, Garvey and Wood, the general partners of AVP IV, may be deemed to have shared power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,343,369 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.89% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 3 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Austin Ventures IV-B, L.P. ("AV IV-B") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 2,818,371 shares, except that AVP IV, the OWNED BY EACH general partner of AV IV-B, may be deemed to REPORTING have sole power to vote these shares, and PERSON Aragona, DeAngelis, Garvey and Wood, the WITH general partners of AVP IV, may be deemed to have shared power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 2,818,371 shares, except that AVP IV, the general partner of AV IV-B, may be deemed to have sole power to dispose of these shares, and Aragona, DeAngelis, Garvey and Wood, the general partners of AVP IV, may be deemed to have shared power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,818,371 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.26% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 4 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON AV Partners IV, L.P. ("AVP IV") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 4,161,740 shares, of which 1,343,369 are OWNED BY EACH directly owned by AV IV-A and 2,818,371 are REPORTING directly owned by AV IV-B. AVP IV, the PERSON general partner of AV IV-A and AV IV-B, may WITH be deemed to have sole power to vote these shares, and Aragona, DeAngelis, Garvey and Wood, the general partners of AVP IV, may be deemed to have shared power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 4,161,740 shares, of which 1,343,369 are directly owned by AV IV-A and 2,818,371 are directly owned by AV IV-B. AVP IV, the general partner of AV IV-A and AV IV-B, may be deemed to have sole power to dispose of these shares, and Aragona, DeAngelis, Garvey and Wood, the general partners of AVP IV, may be deemed to have shared power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,161,740 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.15% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 5 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Austin Ventures VI, L.P. ("AV VI") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 291,793 shares, except that AV Partners VI, OWNED BY EACH L.P. ("AVP VI"), the general partner of AV REPORTING VI, may be deemed to have sole power to vote PERSON these shares, and Joseph C. Aragona WITH ("Arogona"), Kenneth P. DeAngelis ("DeAngelis"), Jeffery C. Garvey ("Garvey), Edward E. Olkkola ("Olkkola"), John D. Thornton ("Thornton") and Blaine F. Wesner ("Wesner"), the general partners of AVP VI, may be deemed to have shared power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 291,793 shares, except that AVP VI, the general partner of AV VI, may be deemed to have sole power to dispose of these shares, and Aragona, DeAngelis, Garvey, Olkkola, Thornton and Wesner, the general partners of AVP VI, may be deemed to have shared power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 291,793 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.06% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 6 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Austin Ventures VI Affiliates Fund, L.P. ("AV VI A") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 8,206 shares, except that AVP VI, the general OWNED BY EACH partner of AV VI A, may be deemed to have REPORTING sole power to vote these shares, and Aragona, PERSON DeAngelis, Garvey, Olkkola, Thornton and WITH Wesner, the general partners of AVP VI, may be deemed to have shared power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 8,206 shares, except that AVP VI, the general partner of AV VI A, may be deemed to have sole power to dispose of these shares, and Aragona, DeAngelis, Garvey, Olkkola, Thornton and Wesner, the general partners of AVP VI, may be deemed to have shared power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,206 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.03% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 7 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON AV Partners VI, L.P. ("AVP VI") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 299,999 shares, of which 291,793 are directly OWNED BY EACH owned by AV VI and 8,206 are directly owned REPORTING by AV VI A. AVP VI, the general partner of AV PERSON VI and AV VI A, may be deemed to have sole WITH power to vote these shares, and Aragona, DeAngelis, Garvey, Olkkola, Thornton and Wesner, the general partners of AVP VI, may be deemed to have shared power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER See response to row 5. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 299,999 shares, of which 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. AVP VI, the general partner of AV VI and AV VI A, may be deemed to have sole power to dispose of these shares, and Aragona, DeAngelis, Garvey, Olkkola, Thornton and Wesner, the general partners of AVP VI, may be deemed to have shared power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 299,999 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.09% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 8 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joseph C. Aragona ("Aragona") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 89,543 shares, of which 9,500 are directly OWNED BY EACH owned by Aragona and 80,043 are directly REPORTING owned by Aragona, Ltd., a Texas limited PERSON partnership, and Aragona, the sole general WITH partner of Aragona, Ltd., may be deemed to have sole power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER 4,461,739 shares, of which 1,343,369 are directly owned by AV IV-A, 2,818,371 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Aragona is a general partner of both AVP IV, the general partner of AV IV-A and AV IV-B, and AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to vote these shares. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 89,543 shares, of which 9,500 are directly owned by Aragona and 80,043 are directly owned by Aragona, Ltd., a Texas limited partnership, and Aragona, the sole general partner of Aragona, Ltd., may be deemed to have sole power to dispose of these shares -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,461,739 shares, of which 1,343,369 are directly owned by AV IV-A, 2,818,371 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Aragona is a general partner of both AVP IV, the general partner of AV IV-A and AV IV-B, and AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to dispose of these shares. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,551,282 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.57% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 9 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kenneth P. DeAngelis ("DeAngelis") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 85,279 shares, of which 81,015 are directly OWNED BY EACH owned by DeAngelis and 4,264 are directly REPORTING owned by DeAngelis, Ltd., a Texas limited PERSON partnership, and DeAngelis, the sole general WITH partner of DeAngelis, Ltd., may be deemed to have sole power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER 4,461,739 shares, of which 1,343,369 are directly owned by AV IV-A, 2,818,371 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. DeAngelis is a general partner of both AVP IV, the general partner of AV IV-A and AV IV-B, and AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to vote these shares. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 85,279 shares, of which 81,015 are directly owned by DeAngelis and 4,264 are directly owned by DeAngelis, Ltd., a Texas limited partnership, and DeAngelis, the sole general partner of DeAngelis, Ltd., may be deemed to have sole power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,461,739 shares, of which 1,343,369 are directly owned by AV IV-A, 2,818,371 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. DeAngelis is a general partner of both AVP IV, the general partner of AV IV-A and AV IV-B, and AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to dispose of these shares. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,547,018 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.56% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 10 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jeffery C. Garvey ("Garvey") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 37,224 shares, of which 34,330 are directly OWNED BY EACH owned by Garvey and 2,894 are directly owned REPORTING by Garvey, Ltd., a Texas limited partnership, PERSON and Garvey, the sole general partner of WITH Garvey, Ltd., may be deemed to have sole power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER 4,461,739 shares, of which 1,343,369 are directly owned by AV IV-A, 2,818,371 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Garvey is a general partner of both AVP IV, the general partner of AV IV-A and AV IV-B, and AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to vote these shares. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 37,224 shares, of which 34,330 are directly owned by Garvey and 2,894 are directly owned by Garvey, Ltd., a Texas limited partnership, and Garvey, the sole general partner of Garvey, Ltd., may be deemed to have sole power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,461,685 shares, of which 1,343,739 are directly owned by AV IV-A, 2,818,371 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Garvey is a general partner of both AVP IV, the general partner of AV IV-A and AV IV-B, and AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to dispose of these shares. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,498,963 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.38% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 11 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Edward E. Olkkola ("Olkkola") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 4,291 shares. OWNED BY EACH REPORTING PERSON WITH -------------------------------------------------- 6 SHARED VOTING POWER 299,999 shares, of which 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Olkkola is a general partner of AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to vote these shares. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 4,291 shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 299,999 shares, of which 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Olkkola is a general partner of AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to dispose of these shares. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 304,290 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.11% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 12 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John D. Thornton ("Thornton") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 32,792 shares, of which 4,291 are directly OWNED BY EACH owned by Thornton and OF 28,501 are directly REPORTING owned by John Thornton Family I, Ltd., a PERSON Texas limited partnership, and Thornton, the WITH sole general partner of John Thornton Family I, Ltd., may be deemed to have sole power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER 299,999 shares, of which 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Thornton is a general partner of AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to vote these shares. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 32,792 shares, of which 4,291 are directly owned by Thornton and 28,501 are directly owned by John Thornton Family I, Ltd., a Texas limited partnership, and Thornton, the sole general partner of John Thornton Family I, Ltd., may be deemed to have sole power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 299,999 shares, of which 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Thornton is a general partner of AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to dispose of these shares. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 332,791 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.21% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 13 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Blaine F. Wesner ("Wesner") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 46,092 shares. OWNED BY EACH REPORTING PERSON WITH -------------------------------------------------- 6 SHARED VOTING POWER 299,999 shares, of which 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Wesner is a general partner of AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to vote these shares. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 46,092 shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 299,999 shares, of which 291,793 are directly owned by AV VI and 8,206 are directly owned by AV VI A. Wesner is a general partner of AVP VI, the general partner of AV VI and AV VI A, and may be deemed to have shared power to dispose of these shares. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 346,091 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.26% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- --------------------------- CUSIP NO. 22765D100 13G Page 14 of 25 - --------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON William P. Wood ("Wood") Tax ID Number: - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 287,240 shares, of which 1,844 are directly OWNED BY EACH owned by Wood and 285,396 OF are directly REPORTING owned by Silverton Partners, L.P. PERSON ("Silverton"), a Texas limited partnership, WITH and Wood, the sole general partner of Silverton, may be deemed to have sole power to vote these shares. -------------------------------------------------- 6 SHARED VOTING POWER 4,161,740 shares, of which 1,343,369 are directly owned by AV IV-A and 2,818,371 are directly owned by AV IV-B. Wood is a general partner of AVP IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared power to vote these shares. -------------------------------------------------- 7 SOLE DISPOSITIVE POWER 287,240 shares, of which 1,844 are directly owned by Wood and 285,396 are directly owned by Silverton Partners, L.P. ("Silverton"), a Texas limited partnership, and Wood, the sole general partner of Silverton, may be deemed to have sole power to dispose of these shares. -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,161,740 shares, of which 1,343,369 are directly owned by AV IV-A and 2,818,371 are directly owned by AV IV-B. Wood is a general partner of AVP IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared power to dispose of these shares. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,448,980 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.20% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! Page 15 of 25 ITEM 1(A). NAME OF ISSUER Crossroads Systems, Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 8300 North MoPac Expressway Austin, Texas 78759 ITEM 2(A). NAME OF PERSONS FILING This Statement is filed by Austin Ventures IV-A, L.P., a Delaware limited partnership ("AV IV-A"), Austin Ventures IV-B, L.P., a Delaware limited partnership ("AV IV-B"), AV Partners IV, L.P., a Delaware limited partnership ("AVP IV"), Austin Ventures VI, L.P., a Delaware limited partnership ("AV VI"), Austin Ventures VI Affiliates Fund, L.P., a Delaware limited partnership ("AV VI A"), Joseph C. Aragona ("Arogona"), Kenneth P. DeAngelis ("DeAngelis"), Jeffery C. Garvey ("Garvey), Edward E. Olkkola ("Olkkola"), John D. Thornton ("Thornton"), Blaine F. Wesner ("Wesner") and William P. Wood ("Wood"). Aragona, DeAngelis, Garvey and Wood are the general partners of AVP IV, and Aragona, DeAngelis, Garvey, Olkkola, Thornton and Wesner are the general partners of AVP VI. The foregoing entities and individuals are collectively referred to as the "Reporting Persons." AVP IV, the general partner of AV IV-A and AV IV-B, may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by AV IV-A and AV IV-B. Aragona, DeAngelis, Garvey and Wood are general partners of AVP IV and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by AV IV-A and AV IV-B. AVP VI, the general partner of AV VI and AV VI A, may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by AV VI and AV VI A. Aragona, DeAngelis, Garvey, Olkkola, Thornton and Wesner are general partners of AVP VI and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by AV VI and AV VI A. ITEM 2(B). ADDRESS OF PRINCIPAL OFFICE The address for each of the Reporting Persons is: Austin Ventures 701 N. Brazos St., Suite 1400 Austin, Texas 78701 ITEM 2(C). CITIZENSHIP AV IV-A, AV IV-B, AVP IV, AV VI, AV VI A and AVP VI are Delaware limited partnerships Aragona, DeAngelis, Garvey, Olkkola, Thornton, Wesner and Wood are United States citizens. ITEM 2(D) AND (E). TITLE OF CLASS OF SECURITIES AND CUSIP NUMBER Common Stock CUSIP # 22765D100 ITEM 3. Not Applicable Page 16 of 25 ITEM 4. OWNERSHIP The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 2000: (a) Amount beneficially owned: See Row 9 of cover page for each Reporting Person. (b) Percent of Class: See Row 11 of cover page for each Reporting Person. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for each Reporting Person. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Under certain circumstances set forth in the limited partnership agreements of AV IV-A, AV IV-B, AVP IV, AV VI, AV VI A and AVP VI, the general and limited partners of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by each such entity of which they are a partner. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable Page 17 of 25 ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable ITEM 10. CERTIFICATION. Not applicable Page 18 of 25 SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2001 AUSTIN VENTURES IV-A, L.P. /s/ John Nicholson By AV Partners IV, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES IV-B, L.P. /s/ John Nicholson By AV Partners IV, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES IV, L.P. /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES VI, L.P. /s/ John Nicholson By AV Partners VI, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES VI AFFILIATES FUND, L.P./s/ John Nicholson By AV Partners VI, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact Page 19 of 25 AUSTIN VENTURES IV, L.P. /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact JOSEPH C. ARAGONA /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact KENNETH P. DeANGELIS /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact JEFFERY C. GARVEY /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact EDWARD E. OLKKOLA /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact JOHN D. THORNTON /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact Page 20 of 25 BLAINE F. WESNER /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact WILLIAM P. WOOD /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact Page 21 of 25 EXHIBIT INDEX Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 22 Exhibit B: Reference to John Nicholson as Attorney-In-Fact 25 Page 22 of 25 EXHIBIT A Agreement of Joint Filing The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Crossroads Systems, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Dated: February 14, 2001 AUSTIN VENTURES IV-A, L.P. /s/ John Nicholson By AV Partners IV, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES IV-B, L.P. /s/ John Nicholson By AV Partners IV, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES IV, L.P. /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES VI, L.P. /s/ John Nicholson By AV Partners VI, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES VI AFFILIATES FUND, L.P./s/ John Nicholson By AV Partners VI, L.P., ---------------------------------------- Its General Partner Signature John Nicholson Chief Financial Officer/Attorney-In-Fact Page 23 of 25 AUSTIN VENTURES IV, L.P. /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact JOSEPH C. ARAGONA /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact KENNETH P. DeANGELIS /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact JEFFERY C. GARVEY /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact EDWARD E. OLKKOLA /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact JOHN D. THORNTON /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact Page 24 of 25 BLAINE F. WESNER /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact WILLIAM P. WOOD /s/ John Nicholson ---------------------------------------- Signature John Nicholson Chief Financial Officer/Attorney-In-Fact Page 25 of 25 EXHIBIT B REFERENCE TO JOHN NICHOLSON AS ATTORNEY-IN-FACT John Nicholson has signed the enclosed documents as Attorney-In-Fact. Note that copies of the applicable Power of Attorneys are already on file with the appropriate agencies. -----END PRIVACY-ENHANCED MESSAGE-----