CROSSROADS SYSTEMS INC Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2013-12-20: Form 8-K; Period of report 2013-12-20; Description 1.01 Entry into a Material Definitive Agreement; 1.02 Termination of a Material Definitive Agreement; Details 1.01.
- 2013-12-13: Form 8-K; Period of report 2013-12-09; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
- 2013-12-12: Form 8-K; Period of report 2013-12-12; Description 2.02 Results of Operations and Financial Condition; Details 2.02.
- 2013-11-27: Form 8-K; Period of report 2013-11-26; Description 8.01 Other Events; Details 8.01.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2013-12-20 | 8-K | 2013-12-20 | 1.01 Entry into a Material Definitive Agreement; 1.02 Termination of a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. 1.02 The information set forth in Item 1.01 above is incorporated by reference herein. | v363564_8k.htm |
| 2013-12-13 | 8-K | 2013-12-09 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On December 9, 2013, the Compensation Committee of the Board of Directors of Crossroads Systems, Inc. (the “Company”) unanimously approved the award of bonus payments under the Company’s Management Bonus Program for performance in the fiscal year ended October 31, 2013. | v363055_8k.htm |
| 2013-12-12 | 8-K | 2013-12-12 | 2.02 Results of Operations and Financial Condition | 2.02 On December 12, 2013, Crossroads Systems, Inc. issued a press release relating to its results for its fiscal fourth quarter and full year ended October 31, 2013. | v362751_8-k.htm |
| 2013-11-27 | 8-K | 2013-11-26 | 8.01 Other Events | 8.01 On November 26, 2013, Crossroads Systems, Inc. filed complaints against Tandberg Data Corporation, Dell, Inc., Huawei Technologies Co. Ltd., Huawei Enterprise USA Inc., and Huawei Technologies USA Inc. in federal district court in Austin, Texas, alleging infringement of U.S. Patents 6,425,035; 7,051,147; and 7,934,041. | v361653_8-k.htm |
| 2013-11-25 | 8-K | 2013-11-21 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (c) On November 21, 2013, Crossroads Systems, Inc. (the “Company”) appointed Richard K. Coleman, Jr., 57, as its President and Chief Executive Officer. | v361501_8k.htm |
| 2013-11-07 | 8-K | 2013-11-07 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 5.03 On November 7, 2013, the Board of Directors (the “Board”) of Crossroads Systems, Inc. (the “Company”) approved the Amended and Restated Bylaws (the “Restated Bylaws”). | v359784_8k.htm |
| 2013-10-24 | 8-K | 2013-10-24 | 2.05 Costs Associated with Exit or Disposal Activities | 2.05 On October 24, 2013, Crossroads Systems, Inc. (the “Company”) began to implement a plan to reduce the Company workforce by approximately 40% by notifying affected employees. | v358106_8k.htm |
| 2013-10-16 | 8-K | 2013-10-11 | 8.01 Other Events | 8.01 On October 11, 2013, Lone Star Value Investors, LP entered into a stock purchase plan (the “Purchase Plan”) pursuant to Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. | v357485_8k.htm |
| 2013-10-08 | 8-K | 2013-10-07 | 8.01 Other Events | 8.01 On October 7, 2013, Crossroads Systems, Inc. filed a complaint against Oracle Corporation in the federal district court in Austin, Texas, alleging infringement of U.S. Patents 6,425,035; 7,051,147; and 7,934,041. | v356950_8k.htm |
| 2013-10-03 | 8-K | 2013-10-03 | 7.01 Regulation FD Disclosure | 7.01 On October 3, 2013, Crossroads Systems, Inc. (the “Company”) issued a press release regarding its intention to adopt a tax benefit preservation plan, subject to receipt of approvals required from the holders of the Company’s 5.0% Series F Convertible Preferred Stock, as well as certain additional information about the status of its net operating loss tax carryforwards. | v356616_8k.htm |
| 2013-09-24 | 8-K | 2013-09-18 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On September 18, 2013, Crossroads Systems, Inc. (the “Company”) received a letter from the Listing Qualifications Department of the Nasdaq Stock Market (“Nasdaq”) indicating that the Company no longer complies with the minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market. | v355669_8k.htm |
| 2013-09-12 | 8-K | 2013-09-12 | 2.02 Results of Operations and Financial Condition | 2.02 On September 12, 2013, Crossroads Systems, Inc. issued a press release relating to its results for its fiscal third quarter ended July 31, 2013. | v354917_8k.htm |
| 2013-08-07 | 8-K | 2013-08-02 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (e) On August 2, 2013, Crossroads Systems, Inc. (the “Company”) entered into an at-will employment agreement with its interim President and Chief Executive Officer, Richard K. Coleman, Jr. This employment agreement is effective from May 8, 2013, the date that Mr. Coleman was appointed to serve as the Company’s interim President and CEO. | v352217_8k.htm |
| 2013-07-25 | 8-K | 2013-07-24 | 1.01 Entry into a Material Definitive Agreement; 1.02 Termination of a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 2.03 The information set forth under Item 1.01 is incorporated by reference into this Item 2.03. 3.02 The information set forth under Item 1.01 is incorporated by reference into this Item 3.02. 8.01 On July 24, 2013, the Company issued a press release announcing the consummation of the Transactions. | v350781_8k.htm |
| 2013-07-16 | 8-K | 2013-07-10 | 1.01 Entry into a Material Definitive Agreement | 1.01 On July 10 and July 11, 2013, each of the current directors and executive officers of Crossroads Systems, Inc. (the “Company”) entered into a new form of Indemnity agreement that will replace the prior indemnity agreement with the Company to which each such director or executive officer was a party. | v350043_8k.htm |
| 2013-06-26 | 8-K | 2013-06-21 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 The registrant held its 2013 Annual Meeting of Stockholders on June 21, 2013. | v348701_8k.htm |
| 2013-06-12 | 8-K | 2013-06-12 | 8.01 Other Events | 8.01 On May 2, 2013, Crossroads Systems, Inc. (the “Company”) disclosed in a Current Report on Form 8-K that its Board of Directors had elected Richard K. Coleman to serve as a director of the Company on April 29, 2013. | v347633_8k.htm |
| 2013-06-10 | 8-K | 2013-06-04 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (e) Retention Agreements with Certain Executive Officers. | v347256_8k.htm |
| 2013-06-07 | 8-K | 2013-06-07 | 2.02 Results of Operations and Financial Condition | 2.02 On June 7, 2013, Crossroads Systems, Inc. issued a press release relating to its results for its fiscal second quarter ended April 2013, 2013. | v347283_8k.htm |
| 2013-05-24 | 8-K | 2013-05-20 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 3.01 As described in Item 5.02 below, as a result of the resignation, effective as of May 21, 2013, of Elliot Brackett as a member of the Board of Directors of Crossroads Systems, Inc. (the “Company”), including as a member of the Board’s Audit Committee on which he served, the Company is currently not in compliance with Listing 5605(c)(2)(A) of the Nasdaq Stock Market LLC, which requires, among other things, that the Audit Committee must be comprised of at least three members. 5.02 (a) Resignation of Director. | v345954_8k.htm |
| 2013-05-14 | 8-K | 2013-05-08 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (b) On May 8, 2013 (the “Separation Date”), Robert C. Sims ceased to serve as President and Chief Executive Officer of Crossroads Systems, Inc. (the “Company”). | v345031_8k.htm |
| 2013-05-08 | 8-K | 2013-05-08 | 8.01 Other Events | 8.01 On May 8, 2013, Crossroads Systems, Inc. (the “Company”) issued a press release announcing that Richard K. Coleman, Jr., currently a director of the Company, has been appointed the Company’s interim President and Chief Executive Officer and that Robert C. Sims, who had served as the Company’s President and Chief Executive Officer, has left the Company. | v344370_8k.htm |
| 2013-05-03 | 8-K | 2013-04-29 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure | 5.02 On April 29, 2013, the Board of Directors of Crossroads Systems, Inc. (the “Company”) elected Richard K. Coleman, Jr. and Jeffrey E. Eberwein as directors of the Company. 7.01 In light of the events described in Item 5.02 above, the Company intends to provide supplemental materials (the “Supplement”) to the proxy statement for its 2013 Annual Meeting of Stockholders (the “Annual Meeting”) to the record holders of its common stock at the close of business on March 22, 2013, the record date for the Annual Meeting. | v343824_8k.htm |
| 2013-04-08 | 8-K | 2013-04-02 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 As previously disclosed, on January 29, 2013, the Nasdaq Stock Market (“Nasdaq”) notified Crossroads Systems, Inc. (the “Company”) that it did not comply with the minimum $2.5 million stockholders’ equity, $35 million market value of listed securities or $500,000 of net income from continuing operations requirements for Nasdaq set forth in Listing Rules 5550(b)(1), 5550(b)(2) or 5550(b)(3), respectively. | v340751_8k.htm |
| 2013-04-02 | 8-K/A | 2013-03-22 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 1.01 Entry into a Material Definitive Agreement. 3.02 The information set forth under Item 1.01 is incorporated by reference into this Item 3.02. 3.03 In connection with the Private Placement, the Company filed the Certificate of Designation with the Secretary of State of the State of Delaware on March 28, 2013, as described under Item 1.01 above, which description is hereby incorporated by reference into this Item 3.03. 5.03 In connection with the Private Placement, the Company filed the Certificate of Designation with the Secretary of State of the State of Delaware on March 28, 2013, as described under Item 1.01 above, which description is hereby incorporated by reference into this Item 5.03. | v340294_8ka.htm |
| 2013-03-25 | 8-K | 2013-03-22 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 1.01 Entry into a Material Definitive Agreement. 3.02 The information set forth under Item 1.01 is incorporated by reference into this Item 3.02. 3.03 In connection with the Private Placement, the Company will file the Certificate of Designation with the Secretary of State of the State of Delaware, as described under Item 1.01 above, which description is hereby incorporated by reference into this Item 3.03. 5.03 In connection with the Private Placement, the Company will file the Certificate of Designation with the Secretary of State of the State of Delaware, as described under Item 1.01 above, which description is hereby incorporated by reference into this Item 5.03. | v338922_8k.htm |
| 2013-03-14 | 8-K | 2013-03-08 | 2.05 Costs Associated with Exit or Disposal Activities | 2.05 On March 8, 2013, Crossroads Systems, Inc. (the “Company”) instituted a reduction in force. | v338155_8k.htm |
| 2013-03-12 | 8-K | 2013-03-12 | 2.02 Results of Operations and Financial Condition | 2.02 On March 12, 2013, the registrant issued a press release relating to its results for its fiscal first quarter ended January 31, 2013. | v337964_8k.htm |
| 2013-03-12 | 8-K | 2013-02-28 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. 2.03 See the discussion in Item 1.01 with respect to the Notes, which is incorporated herein by reference. | v337878_8k.htm |
| 2013-02-04 | 8-K | 2013-02-04 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On January 29, 2013, the registrant received a letter (the “Notice”) from The Nasdaq Stock Market (“Nasdaq”) notifying the registrant that it is no longer in compliance with the minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market. | v333702_8k.htm |