CROSSROADS SYSTEMS INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows, 14 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-07-31: Reporting owner HOOD MARK C; Form 4; Security Common Stock Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-07-31: Reporting owner Crane Jennifer; Form 4; Security Common Stock Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-07-31: Reporting owner Coleman Richard Kenneth Jr.; Form 4; Security Common Stock Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-03-20: Reporting owner HOOD MARK C; Form 3; Security Common Stock Warrants (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-07-31 | HOOD MARK C Officer (Executive Vice President) | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,532 0 owned after | $55.20 exercise price | 2017-08-04 | |
| 2017-07-31 | Crane Jennifer Officer (Chief Financial Officer) | 4 | Common Stock Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −43 0 owned after | $40.00 exercise price | 2017-08-04 | |
| 2017-07-31 | Coleman Richard Kenneth Jr. Director, Officer (Executive Director) | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −326 0 owned after | $55.20 exercise price | 2017-08-04 | |
| 2015-03-20 holding as of filing | HOOD MARK C Officer (Executive Vice President) | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $2.76 exercise price | 2015-03-20 | ||
| 2015-01-27 | Eberwein Jeffrey E. Director, 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By: Lone Star Value Investors, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $2.76 exercise price | 2015-01-29 | |
| 2015-01-27 | Coleman Richard Kenneth Jr. Director, Officer (President and CEO) | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By: RKC Investments, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,434 5,434 owned after | $2.76 exercise price | 2015-01-29 | |
| 2014-04-04 holding as of filing | Lone Star Value Investors GP LLC | Lone Star Value Investors LP | Lone Star Value Management LLC 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By: Lone Star Value Investors, LP | Holding | $2.46 exercise price | 2014-04-04 | ||
| 2014-03-31 | Eberwein Jeffrey E. Director, 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · By: Lone Star Value Investors, LP | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +644,176 644,176 owned after | $2.46 exercise price | 2014-04-01 | |
| 2013-08-02 holding as of filing | CF DB EZ LLC 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $2.06 exercise price | 2013-08-02 | ||
| 2013-03-22 | Crane Jennifer Officer (CFO) | 4 | Common Stock Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +730 730 owned after | $2.00 | 2013-04-16 | |
| 2013-03-22 | Brackett Elliott Director | 4 | Common Stock Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +7,250 7,250 owned after | $2.00 | 2013-04-16 | |
| 2013-03-22 | CERF DAVID Officer (EVP BUSINESS DEVELOPMENT) | 4 | Common Stock Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,820 1,820 owned after | $2.00 | 2013-04-16 | |
| 2013-03-22 | SIMS ROBERT C Director, Officer (PRESIDENT AND CEO) | 4 | Common Stock Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,820 1,820 owned after | $2.00 | 2013-04-16 | |
| 2012-01-31 holding as of filing | Wallace Thomas L. Sr. | COMPASS GLOBAL MANAGEMENT LTD Director | 10% Owner | 3 | Warrants to Purchase Common Stock Derivative · Direct | Holding | $3.20 exercise price | 2012-01-31 |