0001144204-17-040657.txt : 20170804 0001144204-17-040657.hdr.sgml : 20170804 20170804184733 ACCESSION NUMBER: 0001144204-17-040657 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: Crane Jennifer CENTRAL INDEX KEY: 0001315692 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15331 FILM NUMBER: 171009749 MAIL ADDRESS: STREET 1: 11000 N. MOPAC EXPRESSWAY CITY: AUSTIN STATE: TX ZIP: 78759 FORMER NAME: FORMER CONFORMED NAME: Ray Jennifer DATE OF NAME CHANGE: 20050127 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 v472501_4.xml OWNERSHIP DOCUMENT X0306 4 2017-07-31 0 0001093207 CROSSROADS SYSTEMS INC CRDS 0001315692 Crane Jennifer 11000 N. MOPAC EXPRESSWAY AUSTIN TX 78759 0 1 0 0 Chief Financial Officer Option (right to buy) 2.81 2017-07-31 4 D 0 37500 D 2027-04-01 Common Stock 37500 0 D Option (right to buy) 5.9 2017-07-31 4 D 0 7000 D 2017-06-06 2026-06-06 Common Stock 7000 0 D Option (right to buy) 26.8 2017-07-31 4 D 0 3000 D 2025-09-17 Common Stock 3000 0 D Option (right to buy) 45.5906 2017-07-31 4 D 0 3005 D 2024-01-17 Common Stock 3005 0 D Option (right to buy) 45.757 2017-07-31 4 D 0 601 D 2024-10-01 Common Stock 601 0 D Option (right to buy) 79.0349 2017-07-31 4 D 0 751 D 2015-10-17 2021-10-17 Common Stock 751 0 D Option (right to buy) 25.9567 2017-07-31 4 D 0 376 D 2012-08-25 2020-08-25 Common Stock 376 0 D Option (right to buy) 25.9567 2017-07-31 4 D 0 376 D 2014-08-25 2020-08-25 Common Stock 376 0 D Common Stock Warrant (right to buy) 40 2017-07-31 4 D 0 43 D 2013-09-28 2018-03-28 Common Stock 43 0 D 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 retention and severance agreement with the Issuer, dated as of July 31, 2017. The option vests over a two year period until fully vested on September 17, 2017. The option vests quarterly over a four year period until fully vested on January 17, 2018. The option vests quarterly over a four year period until fully vested on October 1, 2018. /s/ Jennifer Crane 2017-08-04