-----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, J5lGAh0yLoL4rF/r0j5giW4wmKXGORfqLgCFgfNba8URIq3FdlGFmN+Ez/TQHn9c HTJnsIBEUI+2Wo8O8M8I2A== 0001025894-99-000200.txt : 19990916 0001025894-99-000200.hdr.sgml : 19990916 ACCESSION NUMBER: 0001025894-99-000200 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990915 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: 99711831 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: CRABBE JAMES E CENTRAL INDEX KEY: 0001094751 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 121 SW. MORRISON, SUITE 1400 CITY: PORTLAND STATE: OR ZIP: 97204 BUSINESS PHONE: 5034173538 MAIL ADDRESS: STREET 1: 121 SW. MORRISON, SUITE 1400 CITY: PORTLAND STATE: OR ZIP: 97204 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------------ Auspex Systems, Inc. ----------------------------------------------------- (Name of Issuer) Common Stock = $.001 par value ----------------------------------------------------- (Title of Class of Securities) 052116100 ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 ("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. 052116100 13G Page 2 of 4 Pages --------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 1,605,000 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 2,779,578 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 1,605,000 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 3,146,678 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,751,678 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 18.05% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* Passive Investor - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 3 of 4 Pages Item 1. (a) Name of Issuer: Auspex Systems, Inc., a Delaware Corporation (b) Address of Issuer's Principal Executive Offices: 5200 Great America Parkway, Santa Clara, CA 95054 Item 2. (a) Name of Person Filing: James E. Crabbe (b) Address of Principal Business Office: 121 SW Morrison, Suite 1400, Portland, OR 97204 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, par vlaue $.001 per share (e) CUSIP Number: 052116100 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G) (h) ( ) Group, in accordance with Section 240.13d- 1(b)(1)(ii)(H) (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]. Page 4 of 4 Pages Item 4. Ownership. (a) & (b) The reporting person beneficially owns 1,605,000 shares of the Issuer as trustee of the James E. Crabbe Revocable Trust. The reporting person may also exercise dispository discretion over 3,146,678 shares and voting discretion over 2,779,578 shares of the Issuer held within client accounts managed by the reporting person's employer, a registered investment advisor. The 4,751,678 shares beneficially owned by the reporting person represents 18.05% of the outstanding class of shares of the Issuer. (c) James E. Crabbe does not directly own any shares of the Issuer. The number of shares as to which the reporting person has: (i) Sole Power to Vote or Direct the Vote: 1,605,000 shares (ii) Shared Power to Vote or Direct the Vote: 2,779,578 shares (iii) Sole Power to Dispose or Direct the Disposition of: 1,605,000 shares (iv) Shared Power to Dispose or Direct the Disposition of: 3,146,678 Item 5. Ownership of Five Percent or Less of a Class. N/A Item 6. Ownership of More Than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired 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. Date: September 15, 1999 ----------------------- By: /s/James E. Crabbe ------------------ James E. Crabbe -----END PRIVACY-ENHANCED MESSAGE-----