0001144204-15-017587.txt : 20150320 0001144204-15-017587.hdr.sgml : 20150320 20150320182429 ACCESSION NUMBER: 0001144204-15-017587 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150312 FILED AS OF DATE: 20150320 DATE AS OF CHANGE: 20150320 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOOD MARK C CENTRAL INDEX KEY: 0001636999 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15331 FILM NUMBER: 15717338 MAIL ADDRESS: STREET 1: C/O CROSSROADS SYSTEMS, INC. STREET 2: 11000 N. MOPAC EXPRESSWAY #150 CITY: AUSTIN STATE: TX ZIP: 78759 3 1 v405136_3.xml FORM 3 X0206 3 2015-03-12 0 0001093207 CROSSROADS SYSTEMS INC CRDS 0001636999 HOOD MARK C C/O CROSSROADS SYSTEMS, INC. 11000 N. MOPAC EXPRESSWAY #150 AUSTIN TX 78759 0 1 0 0 Executive Vice President Common Stock 46739 D Common Stock 10870 I By: MCH Advisors, Inc. Option (right to buy) 2.95 2022-12-12 Common Stock 10000 D Option (right to buy) 2.22 2023-01-31 Common Stock 30000 D Option (right to buy) 2.1 2023-06-13 Common Stock 50000 D Option (right to buy) 2.75 2024-10-01 Common Stock 90000 D Common Stock Warrants (right to buy) 2.76 2020-01-30 Common Stock 5435 D Shares are held by MCH Advisors, Inc. ("MCH"). Mr. Hood, who together with his spouse is the sole shareholder of MCH, shares voting and dispositive power over the shares held by MCH. Mr. Hood disclaims beneficial ownership of the shares held by MCH except to the extent of his pecuniary interest therein. The options are fully vested. The options vest over a four year period as follows: 7,500 options vested on January 31, 2014, and 1,875 options vest quarterly thereafter until all options are fully vested on January 31, 2017. The options vest over a two year period as follows: 12,500 options vested on December 13, 2013, and 6,250 options vest quarterly thereafter until all options are fully vested on June 13, 2015. The options vest over a four year period as follows: 22,500 options vest on October 1, 2015, and 5,625 options vest quarterly thereafter until all options are fully vested on October 1, 2018. The warrants reported herein are exercisable beginning July 30, 2015, subject to certain ownership limitations set forth therein. /s/ Mark C. Hood 2015-03-20