UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q/A Amendment No. 1 (MARK ONE) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JANUARY 31, 2002 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 000-30362 CROSSROADS SYSTEMS, INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) DELAWARE 74-2846643 (State or other jurisdiction of (I.R.S. Employer Identification No.) incorporation or organization) 8300 NORTH MOPAC EXPRESSWAY AUSTIN, TEXAS 78759 (Address of principal executive offices) (Zip Code) (512) 349-0300 (Registrant's telephone number, including area code) Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Sections 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. [X] Yes [ ] No As of March 1, 2002, the Registrant had 27,661,529 outstanding shares of common stock, par value $0.001 per share. SIGNATURES Pursuant to the requirements of the Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. CROSSROADS SYSTEMS, INC. March 18, 2002 /s/ Larry Sanders -------------- -------------------------------------------- (Date) Larry Sanders Chief Executive Officer (Principal Executive Officer) March 18, 2002 /s/ Reagan Y. Sakai -------------- -------------------------------------------- (Date) Reagan Y. Sakai Chief Financial Officer (Principal Financial and Accounting Officer) 30