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OMB APPROVAL
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OMB Number: 3235-0145
Expires: August 31, 1999
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Crossroads Systems, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock par Value $0.001
- --------------------------------------------------------------------------------
(Title of Class of Securities)
22765D 10 0
-------------------------------------
(CUSIP Number)
October 25, 1999
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(Date of Event Which Requires Filing of this Statement)
Check the following box to designate the rule pursuant to which the Schedule is
filed:
Rule 13d-1(b)
-----
X Rule 13d-1(c)
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Rule 13d-1(d)
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* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act
of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED
IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY
VALID OMB CONTROL NUMBER.
SEC 1745 (3-98) Page 1 of 5 pages
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CUSIP NO. 22765D 10 0
- --------------------------------------------------------------------------------
1. Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Brian R. Smith
.....................................................................
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
.................................................................
(b) XXX
.................................................................
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3. SEC Use only
........................................................
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4. Citizenship or Place of Organization U. S. Citizen
..............................
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Number of 5. Sole Voting Power 4,450,000 shares of Common Stock
Shares ...................................
Beneficially 6. Shared Voting Power
Owned by Each ...................................
Reporting 7. Sole Dispositive Power 4,450,000 shares of Common Stock
Person With: ................................
8. Shared Dispositive Power
...............................
- --------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person 4,450,000
.........
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
......................................................
11. Percent of Class Represented by Amount in Row (9) 16.7% as of January 27,
2000
.......................
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12. Type of Reporting Person (See Instructions)
.............................
- --------------------------------------------------------------------------------
IN
................................................................................
................................................................................
................................................................................
................................................................................
................................................................................
................................................................................
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Page 2 of 5 pages
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ITEM 1.
(a) Name of Issuer Crossroads Systems, Inc.
(b) Address of Issuer's Principal Executive Offices
9390 Research Blvd., Ste. II-300
Austin, Texas 78759
ITEM 2.
(a) Name of Person Filing Brian R. Smith
(b) Address of Principal Business Offices or, if none, Residence
c/o Crossroads Systems, Inc.
9390 Research Blvd., Ste. II-300
Austin, Texas 78759
(c) Citizenship U.S.A.
(d) Title of Class of Securities Common Stock, par value $0.001
(e) CUSIP Number 22765D 10 0
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13D-1(b) OR
240.13D-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
This Statement is not being filed pursuant to Rule 13d-1(b) or
13d-2(b).
Page 3 of 5 pages
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ITEM 4. OWNERSHIP
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount Beneficially Owned: 4,450,000 .
-----------------
(b) Percent of Class: 16.7% as of January 27, 2000.
-----------------------------
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: 4,450,000 .
-----------------
(ii) Shared power to vote or to direct the vote: .
-----------------
(iii) Sole power to dispose or to direct the disposition of:
4,450,000 .
-----------------
(iv) Shared power to dispose or to direct the disposition of:
.
-----------------
Instruction: For computations regarding securities which represent a right
to acquire an underlying security see Section 240.13d-3(d)(1).
- --------------------------------------------------------------------------------
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not Applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
Not Applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
Not Applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not Applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not Applicable.
Page 4 of 5 pages
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ITEM 10. CERTIFICATION
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were acquired and
are held in the ordinary course of business and were not
acquired and are not held for the purpose of or with the
effect of changing or influencing the control of the issuer of
the securities and were not acquired and are not held in
connection with or as a participant in any transaction having
that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that that information set forth in this statement is true, complete and
correct.
February 14, 2000
-------------------------------
Date
/s/ Brian R. Smith
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Signature
Brian R. Smith
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Name/Title
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
Page 5 of 5 pages
