-----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, W2mvhbVmEsauGiqNKWXffoCdhur2k2EzXvpzc+tJsEA//Ej+sAkA05ggkXQg/nSQ 7ZB77TPkP/QuuIFhwls9eQ== 0001025894-99-000161.txt : 19990812 0001025894-99-000161.hdr.sgml : 19990812 ACCESSION NUMBER: 0001025894-99-000161 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990811 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUSPEX SYSTEMS INC CENTRAL INDEX KEY: 0000860749 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 930963660 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-44681 FILM NUMBER: 99684428 BUSINESS ADDRESS: STREET 1: 2300 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95050 BUSINESS PHONE: 4085662000 MAIL ADDRESS: STREET 1: 5200 GREAT AMERICAN PKWY CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JAMES E CRABBE REVOCABLE TRUST CENTRAL INDEX KEY: 0001088037 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 121 S W MORRISON 14TH FLOOR CITY: PORTLAND STATE: OR ZIP: 972043141 MAIL ADDRESS: STREET 1: 121 S W MORRISON 14TH FLOOR CITY: PORTLAND STATE: OR ZIP: 972043141 SC 13G 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number Expires: Estimated average burden hours per response ....... 0.5 ------------------------------ 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 RULE 13d-2(b) (Amendment No. ) Auspex Systems, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock , $001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 052116100 - -------------------------------------------------------------------------------- (CUSIP Number) August 4, 1999 - -------------------------------------------------------------------------------- (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) [x] Rule 13d-1(c) [_] Rule 13d-1(d) - ---------- (1) 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 the disclosures provided in a prior cover page. The information required in 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 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). (SC13G-07/98) CUSIP No. 13G Page of Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) James E. Crabbe - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States Citizen - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 1,536,000 ----------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- ----------------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,536,000 ----------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,536,000 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [-] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.84% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* Passive Investor - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 13G Page of Pages - -------------------------------------------------------------------------------- Item 1(a). Name of Issuer: Auspex Systems, Inc., a Delaware Corporation - -------------------------------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices: 2300 Central Expressway Santa Clara, CA 95050 - -------------------------------------------------------------------------------- Item 2(a). Name of Person Filing: James E. Crabbe, Trustee of The James E. Crabbe Revocable Trust - -------------------------------------------------------------------------------- Item 2(b). Address of Principal Business Office, or if None, Residence: 121 SW Morrison, Suite 1400 Portland, OR 97204 - -------------------------------------------------------------------------------- Item 2(c). Citizenship: United States - -------------------------------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock $.001 par value - -------------------------------------------------------------------------------- Item 2(e). CUSIP Number: 052116100 - -------------------------------------------------------------------------------- Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] CUSIP No. 13G Page of Pages 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: James E. Crabbe as Trustee of the James E. Crabbe Revocable Trust indirectly owns 1,536,000 shares. The James E. Crabbe Revocable Trust directly owns 1,536,000 shares. (b) Percent of class: 5.84% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote , 1,536,000 (ii) Shared power to vote or to direct the vote , -0- (iii) Sole power to dispose or to direct the disposition of , 1,536,000 (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 - -------------------------------------------------------------------------------- Item 10. Certifications. "By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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 such purpose or effect." SIGNATURE 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. August 11, 1999 ---------------------------------------- (Date) /s/James E. Crabbe ---------------------------------------- (Signature) The James E. Crabbe Revocable Trust James E. Crabbe, Trustee ---------------------------------------- (Name/Title) Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----