CROSSROADS SYSTEMS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-21: Reporting owner Coleman Richard Kenneth Jr.; Form 4; Security Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-10-31: Reporting owner Pearse Robert G.; Form 4; Security Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-10-31: Reporting owner Pearce Don; Form 4; Security Option (Right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-10-31: Reporting owner Eberwein Jeffrey E.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-11-21 | Coleman Richard Kenneth Jr. Director, Officer (Chief Executive Officer) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 450,000 owned after | $1.54 exercise price | 2013-11-25 | |
| 2013-10-31 | Pearse Robert G. Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,670 10,670 owned after | $1.03 exercise price | 2013-11-25 | |
| 2013-10-31 | Pearce Don Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,670 10,670 owned after | $1.03 exercise price | 2013-11-25 | |
| 2013-10-31 | Eberwein Jeffrey E. Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,670 10,670 owned after | $1.03 exercise price | 2013-11-25 | |
| 2013-10-31 | Coleman Richard Kenneth Jr. Director, Officer (Chief Executive Officer) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.03 exercise price | 2013-11-25 | |
| 2013-09-16 | Coleman Richard Kenneth Jr. Director, Officer (Chief Executive Officer) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,407 68,407 owned after | $1.24 exercise price | 2013-11-25 | |
| 2013-07-31 | Eberwein Jeffrey E. Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,993 3,993 owned after | $1.60 exercise price | 2013-08-14 | |
| 2013-07-31 | Pearse Robert G. Director | 4/A | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,780 1,780 owned after | $1.60 exercise price | 2013-08-14 | |
| 2013-07-31 | Pearce Don Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,906 3,906 owned after | $1.60 exercise price | 2013-08-12 | |
| 2013-07-31 | Pearse Robert G. Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,780 1,780 owned after | $1.60 exercise price | 2013-08-12 | |
| 2013-07-31 | Coleman Richard Kenneth Jr. Director, Officer (Chief Executive Officer) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +391 391 owned after | $1.60 exercise price | 2013-08-12 | |
| 2013-06-14 | 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) | +300,000 300,000 owned after | $2.10 exercise price | 2013-11-25 | |
| 2013-06-13 | Krieger Bernd R. Officer (General Manager, Europe) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $2.10 exercise price | 2014-01-03 | |
| 2013-06-13 | Bianchi Brian Joseph Officer (CHIEF OPERATING OFFICER) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,382 96,382 owned after | $2.10 exercise price | 2013-11-25 | |
| 2013-06-13 | Bianchi Brian Joseph Officer (CHIEF OPERATING OFFICER) | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +203,618 203,618 owned after | $2.10 exercise price | 2013-11-25 | |
| 2013-04-30 | LEDGER STEVEN A Director | 4 | Options (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,237 | $2.36 | 2013-05-02 | |
| 2013-04-30 | Brackett Elliott Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,648 2,648 owned after | $2.36 | 2013-05-02 | |
| 2013-04-30 | Hartnett Joseph J Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,648 2,648 owned after | $2.36 | 2013-05-02 | |
| 2013-04-30 | Pearce Don Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,648 2,648 owned after | $2.36 | 2013-05-02 | |
| 2013-01-31 | Brackett Elliott Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,815 2,815 owned after | $2.22 | 2013-02-04 | |
| 2013-01-31 | Hartnett Joseph J Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,815 2,815 owned after | $2.22 | 2013-02-04 | |
| 2013-01-31 | Pearce Don Director | 4 | Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,815 2,815 owned after | $2.22 | 2013-02-04 |