Initial Statement of Beneficial Ownership (3)
October 30 2017 - 6:45PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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210/CRDS Investment LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/3/2017
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3. Issuer Name
and
Ticker or Trading Symbol
CROSSROADS SYSTEMS INC [CRSS]
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(Last)
(First)
(Middle)
8214 WESTCHESTER DRIVE, SUITE 950,
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
___
X
___ Other (specify below)
/ See Explanation of Responses
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(Street)
DALLAS, TX 75225
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
(2)
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1492285
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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This Form 3 is being filed by (a) 210/CRDS Investment LLC ("210/CRDS") in its capacity as a direct holder of 1,492,285 shares of common stock of the Issuer and (b) 210 Capital, LLC ("210 Capital") in its capacity as the sole member of 210/CRDS (collectively, the "Reporting Persons"). 210 Capital disclaims beneficial ownership of these shares of the Issuer's common stock except to the extent of its pecuniary interest therein, and the filing of this Form 3 shall not be construed as an admission that 210 Capital is a beneficial owner of these shares of the Issuer's common stock for purposes of Section 16 or for any other purpose.
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(2)
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The Reporting Persons may be deemed to be members of a Section 13(d) group that collectively beneficially owns more than 10% of the Issuer's outstanding shares of common stock. A statement on Schedule 13D was initially jointly filed on October 24, 2017 by the Reporting Persons and other persons with respect to the shares of the Issuer's common stock reported on this Form 3.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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210/CRDS Investment LLC
8214 WESTCHESTER DRIVE, SUITE 950
DALLAS, TX 75225
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X
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See Explanation of Responses
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210 Capital, LLC
8214 WESTCHESTER DRIVE
SUITE 950
DALLAS, TX 75225
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See Explanation of Responses
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Signatures
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210/CRDS INVESTMENT LLC, By: 210 Capital, LLC, its Sole Member, By: Covenant RHA Partners, L.P., its Member, By: /s/ Robert H. Alpert, its Authorized Signatory; By: CCW/LAW Holdings, LLC, its Member, By: /s/ C. Clark Webb, its Authorized Signatory
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10/30/2017
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**
Signature of Reporting Person
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Date
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210 CAPITAL, LLC, By: Covenant RHA Partners, L.P., its Member, By: /s/ Robert H. Alpert, its Authorized Signatory; By: CCW/LAW Holdings, LLC, its Member, By: /s/ C. Clark Webb, its Authorized Signatory
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10/30/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who 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.
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