CROSSROADS SYSTEMS INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-07-28: Reporting owner Lone Star Value Investors GP LLC | Lone Star Value Investors LP | Lone Star Value Management LLC | Eberwein Jeffrey E.; Form 4; Security Subscription Rights (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-07-28: Reporting owner Lone Star Value Investors GP LLC | Lone Star Value Investors LP | Lone Star Value Management LLC | Eberwein Jeffrey E.; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-07-28: Reporting owner HOOD MARK C; Form 4; Security Subscription Rights (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-07-28: Reporting owner Crane Jennifer; Form 4; Security Subscription Rights (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-07-28 | Lone Star Value Investors GP LLC | Lone Star Value Investors LP | Lone Star Value Management LLC | Eberwein Jeffrey E. 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,763 0 owned after | $1.25 exercise price | 2015-07-30 | |
| 2015-07-28 | Lone Star Value Investors GP LLC | Lone Star Value Investors LP | Lone Star Value Management LLC | Eberwein Jeffrey E. 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −3,053,052 0 owned after | $1.25 exercise price | 2015-07-30 | |
| 2015-07-28 | HOOD MARK C Officer (Executive Vice President) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $1.25 exercise price | 2015-07-30 | |
| 2015-07-28 | Crane Jennifer Officer (Chief Financial Officer) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $1.25 exercise price | 2015-07-30 | |
| 2015-07-28 | Coleman Richard Kenneth Jr. Director, Officer (President & CEO) | 4 | Subscription Rights (right to buy) Derivative · Indirect · By: RKC Investments, LLC | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,869 0 owned after | $1.25 exercise price | 2015-07-30 | |
| 2015-07-28 | Bianchi Brian Joseph Officer (CHIEF OPERATING OFFICER) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $1.25 exercise price | 2015-07-30 |