-----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, RxGhj0icJqfgZbBachxbQATZoNYp42AIBY5AM6dLvi1WrEWnLL41FrxGvbfuCoTY wZ/BsjPCBid0tI9jU2fYBQ== 0000950134-00-001179.txt : 20000215 0000950134-00-001179.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950134-00-001179 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 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 SEC ACT: SEC FILE NUMBER: 005-57603 FILM NUMBER: 541077 BUSINESS ADDRESS: STREET 1: 9390 RESEARCH BOULEVARD SUITE II-300 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: SMITH BRIAN R CENTRAL INDEX KEY: 0001106642 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O CROSSROADS SYSTEMS INC STREET 2: 9390 RESEARCH BLVD SUITE 300 CITY: AUSTIN STATE: TX ZIP: 78759 BUSINESS PHONE: 5123490300 MAIL ADDRESS: STREET 1: C/O CROSSROADS SYSTEMS INC STREET 2: 9390 RESEARCH BLVD SUITE 300 CITY: AUSTIN STATE: TX ZIP: 78759 SC 13G 1 SCHEDULE 13G 1
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Crossroads Systems, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock par Value $0.001 - -------------------------------------------------------------------------------- (Title of Class of Securities) 22765D 10 0 ------------------------------------- (CUSIP Number) October 25, 1999 - ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursuant to which the Schedule is filed: Rule 13d-1(b) ----- X Rule 13d-1(c) ----- 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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1745 (3-98) Page 1 of 5 pages 2 CUSIP NO. 22765D 10 0 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Brian R. Smith ..................................................................... - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ................................................................. (b) XXX ................................................................. - -------------------------------------------------------------------------------- 3. SEC Use only ........................................................ - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization U. S. Citizen .............................. - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 4,450,000 shares of Common Stock Shares ................................... Beneficially 6. Shared Voting Power Owned by Each ................................... Reporting 7. Sole Dispositive Power 4,450,000 shares of Common Stock Person With: ................................ 8. Shared Dispositive Power ............................... - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,450,000 ......... 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ...................................................... 11. Percent of Class Represented by Amount in Row (9) 16.7% as of January 27, 2000 ....................... - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) ............................. - -------------------------------------------------------------------------------- IN ................................................................................ ................................................................................ ................................................................................ ................................................................................ ................................................................................ ................................................................................ - -------------------------------------------------------------------------------- Page 2 of 5 pages 3 ITEM 1. (a) Name of Issuer Crossroads Systems, Inc. (b) Address of Issuer's Principal Executive Offices 9390 Research Blvd., Ste. II-300 Austin, Texas 78759 ITEM 2. (a) Name of Person Filing Brian R. Smith (b) Address of Principal Business Offices or, if none, Residence c/o Crossroads Systems, Inc. 9390 Research Blvd., Ste. II-300 Austin, Texas 78759 (c) Citizenship U.S.A. (d) Title of Class of Securities Common Stock, par value $0.001 (e) CUSIP Number 22765D 10 0 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13D-1(b) OR 240.13D-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: This Statement is not being filed pursuant to Rule 13d-1(b) or 13d-2(b). Page 3 of 5 pages 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. (a) Amount Beneficially Owned: 4,450,000 . ----------------- (b) Percent of Class: 16.7% as of January 27, 2000. ----------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 4,450,000 . ----------------- (ii) Shared power to vote or to direct the vote: . ----------------- (iii) Sole power to dispose or to direct the disposition of: 4,450,000 . ----------------- (iv) Shared power to dispose or to direct the disposition of: . ----------------- Instruction: For computations regarding securities which represent a right to acquire an underlying security see Section 240.13d-3(d)(1). - -------------------------------------------------------------------------------- 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 Not Applicable. 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. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable. Page 4 of 5 pages 5 ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that that information set forth in this statement is true, complete and correct. February 14, 2000 ------------------------------- Date /s/ Brian R. Smith ------------------------------- Signature Brian R. Smith ------------------------------- Name/Title ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----