-----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, WuJDya29drjqOvOkUOhHKW5lag+rPkOYW5R42KRDRQPBPsnBtyh90rDXWIxTlK7N C5udA12I55D45LDw+5SaPg== 0000950134-02-001312.txt : 20020414 0000950134-02-001312.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950134-02-001312 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 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: 1934 Act SEC FILE NUMBER: 005-57603 FILM NUMBER: 02545042 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: SMITH BRIAN R CENTRAL INDEX KEY: 0001106642 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 d94253sc13g.txt SCHEDULE 13G ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response.......14.90 ------------------------------ 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) December 31, 2001 - -------------------------------------------------------------------------------- (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) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) SEC 1745 (6-00) 1 of 1 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) - -------------------------------------------------------------------------------- 3. SEC Use only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- 5. Sole Voting Power 3,824,500 Number of --------------------------------------------------------------- Shares Beneficially 6. Shared Voting Power 0 Owned by --------------------------------------------------------------- Each Reporting 7. Sole Dispositive Power 3,824,500 Person With: --------------------------------------------------------------- 8. Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,824,500 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 13.0% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- 2 of 2 ITEM 1. (a) Name of Issuer: Crossroads Systems, Inc. (b) Address of Issuer's Principal Executive Offices: 8300 N. MoPac Expressway Austin, TX 78759 ITEM 2. (a) Name of Person Filing: Brian R. Smith (b) Address of Principal Business Offices or, if none, Residence: 8300 N. MoPac Expressway, Austin, TX 78759 (c) Citizenship: United States of America (d) Title of Class of Securities: Common Stock, par value $0.001 per share (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: Not applicable. This statement on Schedule 13G is not being filed pursuant to Rule 13d-1(b) or 13d-2(b). ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: Brian R. Smith is the record owner of 3,824,500 shares of common stock as of December 31, 2001. An additional 132,000 shares of common stock of which 60,000 shares are held of record by Donald W. Smith, Trustee of the Christian James Smith Gift Trust, 60,000 shares are held of record by Donald W. Smith, Trustee of the Colin Isaac Smith Gift Trust and 12,000 shares are held of record by Donald W. Smith, Trustee of the Caitlin Elizabeth Smith Gift Trust (collectively, the Trusts) are held for the benefit of Mr. Smith's children. Mr. Smith's father is the sole trustee of each of the Trusts and in such capacity holds the sole power to vote and dispose of the shares owned by such Trusts. Mr. Smith disclaims beneficial ownership of all shares held by the Trusts. (b) Percent of Class: 13.0% . ---------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 3,824,500 . ------------------- (ii) Shared power to vote or to direct the vote: 0 . ----------------- (iii) Sole power to dispose or to direct the disposition of: 3,824,500 . ------------- (iv) Shared power to dispose or to direct the disposition of: 0 . ---- 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 3 of 3 ITEM 10. CERTIFICATION 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, 2002 ------------------------------------------- Date /s/ Brian R. Smith ------------------------------------------- Signature Brian R. Smith, Chairman of the Board ------------------------------------------- Name/Title The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power or attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) 4 of 4 -----END PRIVACY-ENHANCED MESSAGE-----