0001144204-15-055978.txt : 20150922 0001144204-15-055978.hdr.sgml : 20150922 20150922181256 ACCESSION NUMBER: 0001144204-15-055978 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150917 FILED AS OF DATE: 20150922 DATE AS OF CHANGE: 20150922 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15331 FILM NUMBER: 151120022 MAIL ADDRESS: STREET 1: C/O CROSSROADS SYSTEMS, INC. STREET 2: 11000 N. MOPAC EXPRESSWAY #150 CITY: AUSTIN STATE: TX ZIP: 78759 4 1 v420779_4.xml OWNERSHIP DOCUMENT X0306 4 2015-09-17 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 10870 I By: MCH Advisors, Inc. Option (right to buy) 1.34 2015-09-17 4 A 0 60000 0 A 2025-09-17 Common Stock 60000 60000 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 vest over a two year period as follows: 30,000 options on September 17, 2016, and 7,500 options quarterly thereafter until all options are fully vested on September 17, 2017. /s/ Jennifer Crane, Attorney-in-Fact 2015-09-22