13F-HR 1 d13fhr.txt FORM 13F - HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2001 ------------------ Check here if Amendment [_]; Amendment Number: ________ This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Crossroads Investment Company, L.P. ----------------------------------------- Address: 1717 Main Street ----------------------------------------- Suite 2500 ----------------------------------------- Dallas, TX 75201 ----------------------------------------- Form 13F File Number: 28-06055 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Brad K. Heppner ------------------------------------------ Title: Chief Executive Officer ------------------------------------------ Phone: (214) 698-2777 ----------------------------------------- Signature, Place, and Date of Signing: /s/ Brad K. Heppner Dallas, TX October 31, 2001 --------------------------- ----------------------- ------------------------ [Signature] [City, Place] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Page 1 of 4 FORM 13 F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ---------------- Form 13F Information Table Entry Total: 30 ---------------- Form 13F Information Table Value Total: $ 47,470 ---------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE Page 2 of 4

~~COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8~~ ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------- -------- -------- -------- --------- -------- -------- -------- NAME OF TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY ~~ISSUER~~------- ~~CLASS~~-------- ~~CUSIP~~----- ~~(x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE~~ ------------------ ---------- ----- -------------------- ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------ ----- ----- -------- ------------------ ---------- -------- -------------------- ------------------------------------------------------------------------------------------------------------------------------------ 724 Solutions, Inc. Common 81788Q100 ~~190~~64 25,694 SH Sole None 25,694 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ ADC Telecommunications, Common 000886101 21,~~701~~428 409,198 SH Sole None 409,198 0 0 Inc. Stock ------------------------------------------------------------------------------------------------------------------------------------ Agile Software Corp. Common 00846X105 1,~~941~~038 114,199 SH Sole None 114,199 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ Akamai Technologies, Inc. Common 00971T101 ~~591~~188 64,448 SH Sole None 64,448 0 0 ~~Inc.~~ Stock ------------------------------------------------------------------------------------------------------------------------------------ Allos Therapeutics, Inc. Common 019777101 5054 10,898 SH Sole None 10,898 0 0 ~~Inc.~~ Stock ------------------------------------------------------------------------------------------------------------------------------------ Amylin Pharmaceuticals, Inc. Common 032346108 ~~404~~199 35,937 SH Sole None 35,937 0 0 ~~Inc.~~ Stock ------------------------------------------------------------------------------------------------------------------------------------ Ariba, Inc. Common 04033V104 ~~132~~45 24,018 SH Sole None 24,018 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ Clear Channel Common 184502102 4226,~~105~~693 671,531 SH Sole None 671,531 0 0 Communications Stock ------------------------------------------------------------------------------------------------------------------------------------ Cisco Systems, Inc. Common 17275R102 74,~~389~~945 405,968 SH Sole None 405,968 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ Corvis Corp. Common 221009103 ~~377~~130 85,775 SH Sole None 85,775 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ Deltagen, Inc. Common 24783R103 54,~~774~~546 643,009 SH Sole None 643,009 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ ~~eBenX,~~Digital ~~Inc~~Insight Corp. Common ~~278668108~~25385P106 5722 171,~~318~~899 SH Sole None 171,~~318~~899 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ Edison Schools, Inc. Common 281033100 ~~622~~702 2746,~~225~~457 SH Sole None 2746,~~225~~457 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ ~~GenVec,~~Exact ~~Inc~~Sciences Corp. Common ~~37246C109~~30063P105 ~~259~~131 8914,~~100~~181 SH Sole None 8914,~~100~~181 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ ~~iManage~~GenVec, Inc. Common ~~45245Y105~~37246C109 52228 14133,~~284~~454 SH Sole None 14133,~~284~~454 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ MetaSolv, Inc. Common 59139P104 ~~276~~209 34,780 SH Sole None 34,780 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ New Focus, Inc. Common 644383101 ~~1,136~~445 137,652 SH Sole None 137,652 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ Nortel Networks Corp. Common 656568102 ~~352~~219 39,035 SH Sole None 39,035 0 0 Stock ------------------------------------------------------------------------------------------------------------------------------------ Nuance Communications Inc. Common 669967101 ~~722~~260 40,051 SH Sole None 40,051 0 0 ~~Inc.~~ Stock ------------------------------------------------------------------------------------------------------------------------------------ Occupational Health & Common 674617105 8665 21,475 SH Sole None 21,475 0 0 Rehabilitation Stock ------------------------------------------------------------------------------------------------------------------------------------

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