CROSSROADS SYSTEMS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 61 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-10-31: Reporting owner Hartnett Joseph J; Form 4; Security Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-31: Reporting owner Pearce Don; Form 4; Security Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-31: Reporting owner Brackett Elliott; Form 4; Security Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-10-17: Reporting owner CERF DAVID; Form 4; Security Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-10-31 | Hartnett Joseph J Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,230 1,230 owned after | $5.08 | 2012-01-31 | |
| 2011-10-31 | Pearce Don Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,230 1,230 owned after | $5.08 | 2012-01-31 | |
| 2011-10-31 | Brackett Elliott Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,230 1,230 owned after | $5.08 | 2012-01-31 | |
| 2011-10-17 | CERF DAVID Officer (EVP BUSINESS DEVELOPMENT) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.75 | 2012-01-31 | |
| 2011-10-17 | SIMS ROBERT C Director, Officer (PRESIDENT AND CEO) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | $4.75 | 2012-01-31 | |
| 2011-10-17 | Crane Jennifer Officer (CFO) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $4.75 | 2012-01-31 | |
| 2011-10-17 | Bianchi Brian Joseph Officer (COO) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.75 | 2012-01-31 | |
| 2011-09-09 holding as of filing | Hartnett Joseph J Director | 3/A | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.52 exercise price | 2011-09-09 | ||
| 2011-09-09 holding as of filing | Hartnett Joseph J Director | 3/A | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $7.20 exercise price | 2011-09-09 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $3.52 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.32 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $6.20 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $7.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $9.72 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | SIMS ROBERT C Officer (President and CEO) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $3.52 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Crane Jennifer Officer (Chief Financial Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $10.64 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Pearce Don Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Pearce Don Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.00 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Pearce Don Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.80 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Pearce Don Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.52 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Pearce Don Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $7.20 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Pearce Don Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $0.72 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Pearce Don Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $2.32 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Hartnett Joseph J Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.52 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Hartnett Joseph J Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $7.20 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $0.64 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $0.72 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.76 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $2.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.00 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.80 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.52 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Brackett Elliott Director | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $7.20 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $3.52 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $6.20 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $7.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $10.64 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Bianchi Brian Joseph Officer (Chief Operating Officer) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Krieger Bernd R. Officer (General Manager, Europe) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.00 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | Krieger Bernd R. Officer (General Manager, Europe) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | CERF DAVID Officer (Executive VP of Bus & Corp Dev) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $3.40 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | CERF DAVID Officer (Executive VP of Bus & Corp Dev) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $3.52 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | CERF DAVID Officer (Executive VP of Bus & Corp Dev) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $4.48 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | CERF DAVID Officer (Executive VP of Bus & Corp Dev) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 | ||
| 2011-08-30 holding as of filing | CERF DAVID Officer (Executive VP of Bus & Corp Dev) | 3 | OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $1.56 exercise price | 2011-08-30 |