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