-----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, OoihLwrxgC63TcEkk/7WE2F4WURDjjZSzDkA+uI8EUcV0ARVWKQPHgqMcWw7pxIL rPmh5+hYK0VjJidr0pdEPw== 0001104659-02-000350.txt : 20020414 0001104659-02-000350.hdr.sgml : 20020414 ACCESSION NUMBER: 0001104659-02-000350 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 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 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: 02541603 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 SC 13G/A 1 j2786_sc13ga.htm SC 13G/A Hummer - DeltaPoint Schedule 13G Original - 1996

 

UNITED STATES

 

 

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.2)*

Crossroads Systems, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

22765D100

(CUSIP Number)

December 31, 2001

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

ý

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).

 

 



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,343,369 shares, except that AV Partners IV, L.P. (“AVP IV”), the general partner of AV IV-A, may be deemed to have sole power to vote these shares, and Joseph C. Aragona (“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 if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
4.8%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

2



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
2,818,371 shares, except that AVP IV, the general partner of AV IV-B, may 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
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 if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
10.1%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

3



 

CUSIP No.  22765D100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
AV Partners IV, L.P. (“AVP IV”)
Tax ID Number:

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole 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.  AVP IV, the general partner of AV IV-A and AV IV-B, may 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 if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
14.9%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

4



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

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 have sole power to vote these shares, and Aragona, DeAngelis, 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 if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.0%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

5



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

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 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
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 if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

6



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

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, the general partner of AV VI and AV VI A, may be deemed to have sole 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
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 if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.1%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

7



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting 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 vote these shares.

 

6.

Shared Voting Power
4,461,740 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 8,207 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
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
4,461,740 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 8,207 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
4,551,283

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
16.3%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

8



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting 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 vote these shares.

 

6.

Shared Voting Power
4,461,740 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 8,207 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
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
4,461,740 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 8,207 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
4,547,019

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
16.3%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

9



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
36,137 shares, of which 33,243 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 vote these shares.

 

6.

Shared Voting Power
4,461,740 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 8,207 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
36,137 shares, of which 33,243 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
4,461,740 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 8,207 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
4,497,877

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
16.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

10



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
4,291 shares.

 

6.

Shared 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. 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
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
304,291

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

11



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
22,792 shares, of which 4,291 are directly owned by Thornton and 18,501 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 vote these shares.

 

6.

Shared 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. 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
22,792 shares, of which 4,291 are directly owned by Thornton and 18,501 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
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
322,792

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.2%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

12



 

CUSIP No.  22765D100

 

 

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 (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
46,092 shares.

 

6.

Shared 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. 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
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
346,092

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.2%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

13



 

CUSIP No.  22765D100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
William P. Wood (“Wood”)
Tax ID Number:

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
337,240 shares, of which 6,844 are directly owned by Wood and 330,396 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 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
337,240 shares, of which 6,844 are directly owned by Wood and 330,396 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
4,498,980

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
16.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

14



 

                This statement amends the Statement on 13(G) 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., 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.”

 

Item 1.

 

(a)

Name of Issuer

 

(b)

Address of Issuer's Principal Executive Offices

 

Item 2.

 

(a)

Name of Person Filing

 

(b)

Address of Principal Business Office or, if none, Residence

 

(c)

Citizenship

 

(d)

Title of Class of Securities

 

(e)

CUSIP Number

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

 

15



 

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, 2001:

 

(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.

 

Item 5.

Ownership of Five Percent or Less of a Class

 

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

 

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

 

 

Item 8.

Identification and Classification of Members of the Group

 

 

Item 9.

Notice of Dissolution of Group

 

 

Item 10.

Certification

 

 

 

16



 

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 11, 2002

 

 

AUSTIN VENTURES IV-A, L.P.

/s/ John Nicholson

By AV Partners IV, L.P.,

Signature

Its General Partner

 

 

John Nicholson

 

Chief Financial Officer/Attorney-In-Fact

 

 

AUSTIN VENTURES IV-B, L.P.

/s/ John Nicholson

By AV Partners IV, L.P.,

Signature

Its General Partner

 

 

John Nicholson

 

Chief Financial Officer/Attorney-In-Fact

 

 

AV PARTNERS 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.,

Signature

Its General Partner

 

 

John Nicholson

 

Chief Financial Officer/Attorney-In-Fact

 

 

AUSTIN VENTURES VI AFFILIATES FUND, L.P.

/s/ John Nicholson

By AV Partners VI, L.P.,

Signature

Its General Partner

 

 

John Nicholson

 

Chief Financial Officer/Attorney-In-Fact

 

 

 

 

17



 

AV PARTNERS VI, 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

 

 

 

 

18



 

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

 

 

19



 

EXHIBIT INDEX

 

Found on
Sequentially

Exhibit

 

Numbered Page

 

 

Exhibit A:  Agreement of Joint Filing

21

 

 

Exhibit B: Reference to John Nicholson as Attorney-In-Fact

22

 

 

20



 

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.

 

21



 

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.

 

 

22


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