0001144204-17-040656.txt : 20170804 0001144204-17-040656.hdr.sgml : 20170804 20170804184710 ACCESSION NUMBER: 0001144204-17-040656 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170731 FILED AS OF DATE: 20170804 DATE AS OF CHANGE: 20170804 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Coleman Richard Kenneth Jr. CENTRAL INDEX KEY: 0001556224 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15331 FILM NUMBER: 171009747 MAIL ADDRESS: STREET 1: 43 GLENMOOR DRIVE CITY: CHERRY HILLS VILLAGE STATE: CO ZIP: 80113 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 11000 NORTH MOPAC EXPRESSWAY CITY: AUSTIN STATE: TX ZIP: 78759 BUSINESS PHONE: 5123490300 MAIL ADDRESS: STREET 1: 11000 NORTH MOPAC EXPRESSWAY STREET 2: . CITY: AUSTIN STATE: TX ZIP: 78759 4 1 v472500_4.xml OWNERSHIP DOCUMENT X0306 4 2017-07-31 0 0001093207 CROSSROADS SYSTEMS INC CRDS 0001556224 Coleman Richard Kenneth Jr. 43 GLENMOOR DRIVE CHERRY HILLS VILLAGE CO 80113 1 1 0 0 Executive Director Option (right to buy) 2.81 2017-07-31 4 D 0 75000 D 2027-04-01 Common Stock 75000 0 D Option (right to buy) 5.9 2017-07-31 4 D 0 16250 D 2017-06-06 2026-06-06 Common Stock 16250 0 D Option (right to buy) 42.5956 2017-07-31 4 D 0 811 D 2017-01-02 2025-01-02 Common Stock 811 0 D Option (right to buy) 42.5956 2017-07-31 4 D 0 12711 D 2017-01-02 2025-01-02 Common Stock 12711 0 D Option (right to buy) 25.6239 2017-07-31 4 D 0 27045 D 2015-11-21 2023-11-21 Common Stock 27045 0 D Option (right to buy) 17.1381 2017-07-31 4 D 0 4508 D 2015-10-31 2023-10-31 Common Stock 4508 0 D Option (right to buy) 20.6322 2017-07-31 4 D 0 4111 D 2013-09-16 2023-09-16 Common Stock 4111 0 D Option (right to buy) 26.6223 2017-07-31 4 D 0 24 D 2013-07-31 2023-07-31 Common Stock 24 0 D Common Stock Warrant (right to buy) 55.2 2017-07-31 4 D 0 326 D 2015-07-30 2020-01-30 Common Stock 326 0 I By: RKC Investments, LLC The option vests in full on April 1, 2018. These securities were canceled by mutual agreement of the Reporting Person and the Issuer in connection with the Reporting Person's amended employment agreement with the Issuer, dated as of July 31, 2017. Securities are held of record by RKC Investments, LLC. Mr. Coleman may be deemed to exercise indirect voting and investment control over these securities. Mr. Coleman disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that Mr. Coleman is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. /s/ Jennifer Crane, Attorney-in-Fact 2017-08-04