-----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, A5Adlu8qJqbvob7QI702nb022GhQ/Or7xrHXn8iW/4WGDPgjh5yk5nLA+o1r8x5X 3YzVq1rVPqWpUiClwtdDYg== 0001025894-02-000043.txt : 20020414 0001025894-02-000043.hdr.sgml : 20020414 ACCESSION NUMBER: 0001025894-02-000043 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020128 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: 0701 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44358 FILM NUMBER: 02518040 BUSINESS ADDRESS: STREET 1: 2800 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95050 BUSINESS PHONE: 4085662000 MAIL ADDRESS: STREET 1: 2800 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95050 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CRABBE JAMES E CENTRAL INDEX KEY: 0001094751 FILING VALUES: FORM TYPE: SC 13G/A 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/A 1 jimauspex.txt SCHEDULE 13G/A, AUSPEX SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* ------------ Auspex Systems, Inc. ------------------------------------------------------------ (Name of Issuer) common stock = $.001 par value per share ------------------------------------------------------------ (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 772,255 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH -0- REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 772,255 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 772,255 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.70% - -------------------------------------------------------------------------------- 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: 2800 Scott Blvd., Santa Clara, CA 95050 Item 2. (a) Name of Person Filing: James E. Crabbe (b) Address of Principal Business Office: 1305 SW Myrtle Court, Portland, OR 97201 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, par value $.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) [ ] 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]. Page 4 of 4 Pages Item 4. Ownership. (a) & (b) As of December 31, 2001, the reporting person beneficially owns 550,000 shares of the Issuer as trustee of the James E. Crabbe Revocable Trust. The reporting person also may exercise dispository and voting discretion over 222,255 shares of the Issuer held within the Phileo Foundation managed by the reporting person. The 772,255 shares beneficially owned by the reporting person represents 1.70% 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: 772,255 shares (ii) Shared Power to Vote or Direct the Vote: -0- (iii) Sole Power to Dispose or Direct the Disposition of: 772,255 shares (iv) Shared Power to Dispose or Direct the Disposition of: -0- Item 5. Ownership of Five Percent or Less of a Class. As of December 31, 2001, the reporting person beneficially owns less than 5% of the Issuer's common stock. 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. Not Applicable 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: January 24, 2002 ----------------------- By: /s/James E. Crabbe ------------------ James E. Crabbe -----END PRIVACY-ENHANCED MESSAGE-----