-----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, SGfRdhr5zNTQTKPDtrAm1JEw/o1oDRUPugedK3aQ6S1CiKURb7sLa/O8Hu2iGK6t vF9OuGzLVbN8iaDtJ+vS6Q== 0000950005-04-000185.txt : 20040217 0000950005-04-000185.hdr.sgml : 20040216 20040213183805 ACCESSION NUMBER: 0000950005-04-000185 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 GROUP MEMBERS: AUSTIN VENTURES IV-A, L.P. GROUP MEMBERS: AUSTIN VENTURES IV-B, L.P. GROUP MEMBERS: AUSTIN VENTURES VI AFFILIATES FUND, L.P. GROUP MEMBERS: AUSTIN VENTURES VI, L.P. GROUP MEMBERS: AV PARTNERS IV, L.P. GROUP MEMBERS: AV PARTNERS VI, L.P. GROUP MEMBERS: BLAINE F. WESNER GROUP MEMBERS: EDWARD E. OLKKOLA GROUP MEMBERS: JEFFREY C. GARVEY GROUP MEMBERS: JOHN D. THORNTON GROUP MEMBERS: JOSEPH C. ARAGONA GROUP MEMBERS: KENNETH P. DEANGELIS GROUP MEMBERS: WILLIAM P. WOOD 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: 1934 Act SEC FILE NUMBER: 005-57603 FILM NUMBER: 04601462 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 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 p18175_sc13ga.txt AMENDMENT NO. 4 TO SC 13G -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response......11 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------ SCHEDULE 13G/A 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. 4)* Crossroads Systems, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 22765D100 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2003 - -------------------------------------------------------------------------------- (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 21 pages Exhibit Index on Page 19 CUSIP No. 22765D100 Page 2 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 391,139 shares, except that AV Partners IV, L.P. ("AVP IV"), the general partner of AV IV-A, may be deemed to NUMBER OF have sole power to vote these shares, and Joseph C. SHARES Aragona ("Aragona"), Kenneth P. DeAngelis ("DeAngelis"), BENEFICIALLY Jeffery C. Garvey ("Garvey) and William P. Wood OWNED BY ("Wood"), the partners of AVP IV, may be deemed to have EACH shared power to vote these shares. REPORTING -------------------------------------------------------- PERSON 6 SHARED VOTING POWER WITH See response to row 5. -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 391,139 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 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 391,139 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.6% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 3 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 820,601 shares, except that AVP IV, the general partner of AV IV-B, may be deemed to have sole power to vote NUMBER OF these shares, and Aragona, DeAngelis, Garvey and Wood, SHARES the partners of AVP IV, may be deemed to have shared BENEFICIALLY power to vote these shares. OWNED BY -------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON See response to row 5. WITH -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 820,601 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 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 820,601 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 4 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) AV Partners IV, L.P. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,211,740 shares, of which 391,139 are directly owned by AV IV-A and 820,601 are directly owned by AV IV-B. AVP NUMBER OF IV, the general partner of AV IV-A and AV IV-B, may be SHARES deemed to have sole power to vote these shares, and BENEFICIALLY Aragona, DeAngelis, Garvey and Wood, the partners of AVP OWNED BY IV, may be deemed to have shared power to vote these EACH shares. REPORTING -------------------------------------------------------- PERSON 6 SHARED VOTING POWER WITH See response to row 5. -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,211,740 shares, of which 391,139 are directly owned by AV IV-A and 820,601 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 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 1,211,740 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 5 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 291,793 shares, except that AV Partners VI, L.P. ("AVP VI"), the general partner of AV VI, may be deemed to NUMBER OF have sole power to vote these shares, and Aragona, SHARES DeAngelis, Garvey, Edward E. Olkkola ("Olkkola"), John BENEFICIALLY D. Thornton ("Thornton") and Blaine F. Wesner OWNED BY ("Wesner"), the general partners of AVP VI, may be EACH deemed to have shared power to vote these shares. REPORTING -------------------------------------------------------- PERSON 6 SHARED VOTING POWER WITH 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) 1.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 6 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 8,207 shares, except that AVP VI, the general partner of AV VI A, may be deemed to have sole power to vote these NUMBER OF shares, and Aragona, DeAngelis, Garvey, Olkkola, SHARES Thornton and Wesner, the general partners of AVP VI, may BENEFICIALLY be deemed to have shared power to vote these shares. OWNED BY -------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON See response to row 5. WITH -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 8,207 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 8,207 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 7 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) AV Partners VI, L.P. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 300,000 shares, of which 291,793 are directly owned by AV VI and 8,207 are directly owned by AV VI A. AVP VI, NUMBER OF the general partner of AV VI and AV VI A, may be deemed SHARES to have sole power to vote these shares, and Aragona, BENEFICIALLY DeAngelis, Garvey, Olkkola, Thornton and Wesner, the OWNED BY general partners of AVP VI, may be deemed to have shared EACH power to vote these shares. REPORTING -------------------------------------------------------- PERSON 6 SHARED VOTING POWER WITH See response to row 5. -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 300,000 shares, of which 291,793 are directly owned by AV VI and 8,207 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 300,000 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 8 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Joseph C. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 211,233 shares, of which 16,935 are directly owned by Aragona and 194,298 are directly owned by Aragona, Ltd., NUMBER OF a Texas limited partnership, and Aragona, the sole SHARES general partner of Aragona, Ltd., may be deemed to have BENEFICIALLY sole power to vote these shares. OWNED BY -------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON 1,511,740 shares, of which 391,139 are directly owned by WITH AV IV-A, 820,601 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,207 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 211,233 shares, of which 16,935 are directly owned by Aragona and 194,298 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 1,511,740 shares, of which 391,139 are directly owned by AV IV-A, 820,601 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,207 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 1,722,973 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 9 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Kenneth P. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 200,885 shares, of which 190,536 are directly owned by DeAngelis and 10,349 are directly owned by DeAngelis, NUMBER OF Ltd., a Texas limited partnership, and DeAngelis, the SHARES sole general partner of DeAngelis, Ltd., may be deemed BENEFICIALLY to have sole power to vote these shares. OWNED BY -------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON 1,511,740 shares, of which 391,139 are directly owned by WITH AV IV-A, 820,601 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,207 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 200,885 shares, of which 190,536 are directly owned by DeAngelis and 10,349 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 1,511,740 shares, of which 391,139 are directly owned by AV IV-A, 820,601 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,207 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 1,712,625 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 10 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Jeffery C. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 157,827 shares, of which 144,009 are directly owned by Garvey and 13,818 are directly owned by Garvey, Ltd., a NUMBER OF Texas limited partnership, and Garvey, the sole general SHARES partner of Garvey, Ltd., may be deemed to have sole BENEFICIALLY power to vote these shares. OWNED BY -------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON 1,511,740 shares, of which 391,139 are directly owned by WITH AV IV-A, 820,601 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,207 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 157,827 shares, of which 144,009 are directly owned by Garvey and 13,818 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 1,511,740 shares, of which 391,139 are directly owned by AV IV-A, 820,601 are directly owned by AV IV-B, 291,793 are directly owned by AV VI and 8,207 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 1,669,567 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 11 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Edward E. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares. -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 300,000 shares, of which 291,793 are directly owned by OWNED BY AV VI and 8,207 are directly owned by AV VI A. Olkkola EACH is a general partner of AVP VI, the general partner of REPORTING AV VI and AV VI A, and may be deemed to have shared PERSON power to vote these shares. WITH -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 shares. -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 300,000 shares, of which 291,793 are directly owned by AV VI and 8,207 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 300,000 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 12 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) John D. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 26,408 shares, all of which are owned by John Thornton Family I, Ltd. ("Family I") a Texas limited partnership, NUMBER OF and Thornton, the sole general partner of Family I, may SHARES be deemed to have sole power to vote these shares. BENEFICIALLY -------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 300,000 shares, of which 291,793 are directly owned by PERSON AV VI and 8,207 are directly owned by AV VI A. Thornton WITH 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 26,408 shares, of which 26,408 are owned by Family I, a Texas limited partnership, and Thornton, the sole general partner of Family I, may be deemed to have sole power to dispose of these shares. -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 300,000 shares, of which 291,793 are directly owned by AV VI and 8,207 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 326,408 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 13 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Blaine F. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 105,760 shares. -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 300,000 shares, of which 291,793 are directly owned by OWNED BY AV VI and 8,207 are directly owned by AV VI A. Wesner is EACH a general partner of AVP VI, the general partner of AV REPORTING VI and AV VI A, and may be deemed to have shared power PERSON to vote these shares. WITH -------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 105,760 shares. -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 300,000 shares, of which 291,793 are directly owned by AV VI and 8,207 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 405,760 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 14 of 21 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) William P. 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 483,930 shares, of which 38,803 are directly owned by Wood and 445,127 are directly owned by Silverton NUMBER OF Partners, L.P. ("Silverton"), a Texas limited SHARES partnership, and Wood, the sole general partner of BENEFICIALLY Silverton, may be deemed to have sole power to vote OWNED BY these shares. EACH -------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 1,211,740 shares, of which 391,139 are directly owned by AV IV-A and 820,601 are directly owned by AV IV-B. Wood is a 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 483,930 shares, of which 38,803 are directly owned by Wood and 445,127 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 1,211,740 shares, of which 391,139 are directly owned by AV IV-A and 820,601 are directly owned by AV IV-B. Wood is a 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 1,695,670 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 22765D100 Page 15 of 21 Pages - -------------------------------------------------------------------------------- This statement amends the Statement on Schedule 13G previously filed by Austin Ventures IV-A, L.P., Austin Ventures IV-B, L.P., AV Partners IV, L.P., Austin Ventures VI, L.P., Austin Ventures VI Affiliates Fund, L.P., AV Partners VI, L.P., Joseph C. Aragona, Kenneth P. DeAngelis, Jeffery C. Garvey, Edward E. Olkkola, John D. Thornton, Blaine F. Wesner and William P. Wood. The foregoing entities and individuals are collectively referred to as the "Reporting Persons." Only those items as to which there has been a change are included in this Amendment No. 4. Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. 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, 2003. (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 the 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. CUSIP No. 22765D100 Page 16 of 21 Pages - -------------------------------------------------------------------------------- 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 13, 2004
AUSTIN VENTURES IV-A, L.P. /s/ Kevin Kunz By AV Partners IV, L.P., ------------------------------------------- Its General Partner Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES IV-B, L.P. /s/ Kevin Kunz By AV Partners IV, L.P., ------------------------------------------- Its General Partner Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact AV PARTNERS IV, L.P. /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES VI, L.P. /s/ Kevin Kunz By AV Partners VI, L.P., ------------------------------------------- Its General Partner Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact AUSTIN VENTURES VI AFFILIATES FUND, L.P. /s/ Kevin Kunz By AV Partners VI, L.P., ------------------------------------------- Its General Partner Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact
CUSIP No. 22765D100 Page 17 of 21 Pages - -------------------------------------------------------------------------------- AV PARTNERS VI, L.P. /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact JOSEPH C. ARAGONA /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact KENNETH P. DeANGELIS /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact JEFFERY C. GARVEY /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact EDWARD E. OLKKOLA /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact JOHN D. THORNTON /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact CUSIP No. 22765D100 Page 18 of 21 Pages - -------------------------------------------------------------------------------- BLAINE F. WESNER /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact WILLIAM P. WOOD /s/ Kevin Kunz ------------------------------------------- Signature Kevin Kunz Chief Financial Officer/Attorney-In-Fact CUSIP No. 22765D100 Page 19 of 21 Pages - -------------------------------------------------------------------------------- EXHIBIT INDEX Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 20 Exhibit B: Reference to Kevin Kunz as Attorney-In-Fact 21 CUSIP No. 22765D100 Page 20 of 21 Pages - -------------------------------------------------------------------------------- exhibit A Agreement of Joint Filing The Reporting Persons 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 Reporting Persons. Note that copies of the applicable Agreement of Joint Filing are already on file with the appropriate agencies. CUSIP No. 22765D100 Page 21 of 21 Pages - -------------------------------------------------------------------------------- EXHIBIT B REFERENCE TO KEVIN KUNZ AS ATTORNEY-IN-FACT Kevin Kunz 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-----