Current Report Filing (8-k)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of report (Date of earliest event reported): June 6, 2017

Crossroads Systems, Inc.

(Exact Name of Registrant as Specified in Its Charter)

Delaware		001-15331		74-2846643
(State or other Jurisdiction of Incorporation)		(Commission File Number)		(IRS Employer Identification No.)

11000 North MoPac Expressway #150, Austin, Texas		78759
(Address of Principal Executive Offices)		(Zip Code)

Registrant’s telephone number, including area code: (512) 349-0300

(Former name or former address if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the follow provisions:

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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 8.01.

Other Events.

On June 6, 2017, Crossroads Systems, Inc. (the “Company”) received two decisions from the United States Court of Appeals for the Federal Circuit regarding the inter partes review (“IPR”) proceedings 2014-01226, 2014-01463, 2014-01544, 2015-00825, 2015-00852, 2015-00854, 2014-01207 and 2014-01209, affirming the decisions of the Patent Trial and Appeal Board (“PTAB”) of the United States Patent and Trademark Office.

As previously disclosed, on January 29, 2016, and March 17, 2016, the PTAB issued decisions in these IPR proceedings initiated against U.S. Patent Nos. 6,425,035, 7,051,147, and 7,934,041 related to technology the Company considers fundamental to secure and efficient access to network storage systems. The decisions stated that all patent claims subject to the IPRs are unpatentable.

The Company is reviewing these new decisions and will consider future actions accordingly.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.