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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
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WASHINGTON, D.C. 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF THE
SECURITIES EXCHANGE ACT OF 1934
CROSSROADS SYSTEMS, INC.
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(Exact name of registrant as specified in its charter)
DELAWARE 74-2846643
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(State of incorporation (I.R.S. Employer
or organization) Identification No.)
9390 RESEARCH BOULEVARD, SUITE II-300, AUSTIN, TEXAS 78759
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(Address of principal executive offices) (Zip Code)
Securities to be registered pursuant to Section 12(b) of the Act:
Title of each class Name of each exchange on which
to be so registered each class is to be registered
Common Stock, $0.001 par value Nasdaq National Market
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If this form relates to the registration of a class of securities pursuant to
Section 12(b) of the Exchange Act and is effective pursuant to General
Instruction A.(c), check the following box. [ ]
If this form relates to the registration of a class of securities pursuant
Section 12(g) of the Exchange Act and is effective pursuant to General
Instruction A.(d), please check the following box. [ ]
Securities Act registration statement file number to which this form relates (if
applicable): 333-85505
Securities to be registered pursuant to Section 12(g) of the Act:
N/A
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(Title of Class)
INFORMATION REQUIRED IN REGISTRATION STATEMENT
ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED.
The description of the Common Stock is set forth under the caption
"Description of Capital Stock - Common Stock" contained in the prospectus filed
with the Commission on September 24, 1999 as part of the Registrant's
Pre-Effective Amendment No. 1 to Registration Statement on Form S-1 (No.
333-85505) (the "Registration Statement"), and is hereby incorporated by
reference in answer to this item.
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ITEM 2. EXHIBITS
LIST ALL EXHIBITS FILED AS A PART OF THE REGISTRATION STATEMENT
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a. -- Form of Underwriting Agreement by and among Registrant
and the Underwriters
b. -- Form of Sixth Amended and Restated Certificate of
Incorporation, as amended, of Crossroads Systems, Inc.
c. -- Form of Amended and Restated Bylaws of Crossroads
Systems, Inc.
d. -- Specimen certificate for shares of common stock
e. -- Opinion of Brobeck, Phleger & Harrison LLP
f. -- Form of Indemnification Agreement between Registrant and
each of its directors and executive officers
g. -- Crossroads Systems, Inc. 1999 Stock Incentive Plan
h. -- Crossroads Systems, Inc. 1999 Employee Stock Purchase
Plan
i. -- Fourth Amended and Restated Investors' Rights Agreement
dated August 6, 1999 by and among Registrant and certain
stockholders of Registrant
j. -- OEM Agreement dated April 23, 1998 by and between
Registrant and Storage Technology Corporation
k. -- Office Lease dated February 28, 1997 by and between
Registrant and Eurus Estates II, Ltd.
l. -- First Supplement to Lease Agreement dated October 6, 1997
by and between Registrant and Eurus Estates II, Ltd.
m. -- Second Supplement to Lease Agreement dated September 28,
1998 by and between Registrant and Eurus Estates II, Ltd.
n. -- Third Supplement to Lease Agreement dated December 1,
1998 by and between Registrant and Eurus Estates II, Ltd.
o. -- Fourth Supplement to Lease Agreement dated June 23, 1999
by and between Registrant and Eurus Estates II, Ltd.
p. -- Fifth Supplement to Lease Agreement dated June 22, 1999
by and between Registrant and Eurus Estates II, Ltd.
q. -- Form of Stock Pledge Agreement by and between Registrant
and each of James H. Moore, Reagan Y. Sakai, Robert F.
LiVolsi and John R. Middleton
r. -- Form of Note Secured by Stock Pledge Agreement issued to
Registrant by each of James H. Moore, Reagan Y. Sakai,
Robert F. LiVolsi and John R. Middleton
s. -- Amended and Restated Loan and Security Agreement by and
between Registrant and Silicon Valley Bank
t. -- Consent of PricewaterhouseCoopers LLP
u. -- Consent of Brobeck, Phleger & Harrison LLP. Reference is
made to Exhibit 5.1
v. -- Power of Attorney (see page II-5)
w. -- Financial Data Schedule
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SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act
of 1934, the registrant has duly caused this registration statement to be signed
on its behalf by the undersigned, thereunto duly authorized.
(Registrant) CROSSROADS SYSTEMS, INC.
By: /s/ Brian R. Smith
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Brian R. Smith
Chairman of the Board and Chief Executive Officer
Date: September 24, 1999
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