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| LEI | 5493007210175UIK7S88 |
| CIK | 709283 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Quantum Corporation
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 28, 2025 |
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): August 27, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| August 28, 2025 |
Exhibit 10.2 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Mr. Tony J. Blevins Via electronic mail August 27, 2025 Dear Tony: We are pleased to offer you the opportunity to serve on the Board of Directors (the Board) of Quantum Corporation (Quantum), effective upon your signing and return of this letter and subject to the Board’s approval of your appoin |
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| August 28, 2025 |
Exhibit 10.1 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Mr. James C. Clancy Via electronic mail August 27, 2025 Dear Jim: We are pleased to offer you the opportunity to serve on the Board of Directors (the Board) of Quantum Corporation (Quantum), effective upon your signing and return of this letter and subject to the Board’s approval of your appoint |
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| August 26, 2025 |
Exhibit 10.5 Quantum Corporation Executive Change of Control Agreement THIS CHANGE OF CONTROL AGREEMENT (the “Agreement”) is effective as of , by and between (the “Employee”) and QUANTUM CORPORATION, a Delaware corporation (the “Corporation”). This Agreement supersedes any previously signed Change of Control Agreement between the parties. RECITALS A.The Board of Directors of the Corporation (the “ |
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| August 26, 2025 |
Exhibit 99.1 Quantum Announces Filing of Fiscal Year 2025 Form 10-K, Delayed Filing of Form 10-Q for Quarter Ended June 30, 2025 and Nasdaq Notice Regarding Form 10-Q CENTENNIAL, Colo. — Aug. 26, 2025 — Quantum Corporation (Nasdaq: QMCO) today announced the filing of its Annual Report on Form 10-K for the fiscal year ended March 31, 2025, with the U.S. Securities and Exchange Commission (the "SEC" |
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| August 26, 2025 |
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): August 21, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| August 26, 2025 |
THIRTEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT Exhibit 10.25 THIRTEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS THIRTEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of May 15, 2024 (the “Thirteenth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO H |
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| August 26, 2025 |
Exhibit 10.6 Quantum Corporation Executive Change of Control Agreement THIS CHANGE OF CONTROL AGREEMENT (the “Agreement”) is effective as of , by and between (the “Employee”) and QUANTUM CORPORATION, a Delaware corporation (the “Corporation”). This Agreement supersedes any previously signed Change of Control Agreement between the parties. RECITALS A.The Board of Directors of the Corporation (the “ |
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| August 26, 2025 |
Exhibit 10.4 THIS CHANGE OF CONTROL AGREEMENT (the “Agreement”) is effective as of , by and between (the “Director”) and QUANTUM CORPORATION, a Delaware corporation (the “Corporation”). This Agreement supersedes any previously signed Change of Control Agreement between the parties. RECITALS A.The Board of Directors of the Corporation (the “Board”) has determined that it is in the best interests of |
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| August 26, 2025 |
Exhibit 21.1 QUANTUM CORPORATION SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary Jurisdiction of Incorporation or Organization A.C.N. 120.786.012 Pty. Ltd. Australia Advanced Digital Information Corporation United Stated Certance (US) Holdings, Inc. United Stated Certance Holdings Corporation United Stated Certance LLC United Stated Diamond Corporation France LTO Holdings, LLC, a Delaware corpor |
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| August 26, 2025 |
SEVENTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT Exhibit 10.52 SEVENTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS SEVENTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of May 15, 2024 (the “Seventh Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreemen |
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| August 26, 2025 |
Insider Trading Policy Amended August 16, 2022 Exhibit 19.1 Insider Trading Policy Amended August 16, 2022 Federal securities laws prohibit insiders of a public company, such as members of the board of directors, officers, employees and consultants, from trading in the securities of that company based on inside information. In addition to the direct liability of insiders for insider trading violations, companies and members of their board of d |
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| August 26, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2025 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 001-13449 |
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| August 18, 2025 |
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): August 12, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): o Form 10-K o Form 20-F o Form 11-K ☒ Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR For Period Ended: June 30, 2025 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| August 8, 2025 |
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): August 8, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| July 23, 2025 |
Quantum Announces Receipt of Nasdaq Notice Regarding Delayed Form 10-K Filing Exhibit 99.1 Quantum Announces Receipt of Nasdaq Notice Regarding Delayed Form 10-K Filing SAN JOSE, Calif. — July 23, 2025 — Quantum Corporation (Nasdaq: QMCO) announced today that it received a notice (the “Notice”) from the Listing Qualifications staff of the Nasdaq Stock Market LLC (“Nasdaq”) on July 17, 2025 stating that the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1) as |
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| July 23, 2025 |
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): July 17, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) ( |
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| July 8, 2025 |
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): July 1, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) (C |
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| June 30, 2025 |
NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| June 18, 2025 |
AMENDED AND RESTATED BYLAWS OF QUANTUM CORPORATION (as amended on June 12, 2025) EX-3.1 Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF QUANTUM CORPORATION (as amended on June 12, 2025) TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES 1 2.5 NOTICE OF STOCKHOLDERS’ MEETINGS 4 2.6 QUORUM 5 2.7 ADJOURNED |
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| June 18, 2025 |
EX-10.1 Exhibit 10.1 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Via email Mr. Hugues Meyrath June 11, 2025 Dear Hugues: I am pleased to offer to you the opportunity to join Quantum Corporation (Quantum or the Company) as our President and Chief Executive Officer, reporting to the Board of Directors (Board). Your start date will be recorded as June 2, |
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| June 18, 2025 |
EX-10.2 Exhibit 10.2 Quantum Corporation Executive Change of Control Agreement THIS CHANGE OF CONTROL AGREEMENT (the “Agreement”) is effective as of June 12, 2025, by and between Hugues Meyrath (the “Employee”) and QUANTUM CORPORATION, a Delaware corporation (the “Corporation”). This Agreement supersedes any previously signed Change of Control Agreement between the parties. RECITALS A. The Board o |
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| June 18, 2025 |
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 12, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 3, 2025 |
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 2, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| June 3, 2025 |
Quantum Announces Leadership Changes Provides Update on Efforts to Transform Capital Structure Exhibit 99.1 Quantum Announces Leadership Changes Provides Update on Efforts to Transform Capital Structure SAN JOSE, Calif. — June 3, 2025 — Quantum Corporation (Nasdaq: QMCO) (“Quantum” or the “Company”), a leader in solutions for AI and unstructured data, today announced leadership changes supporting its efforts to transform Quantum’s ability to deliver consistent profitability and growth. The |
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| May 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report QUANTUM CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) (Commission File Number) (I.R.S. Employer Identification No.) 224 Airport Parkway, Suite 550, San Jose, California 95110 ( |
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| May 28, 2025 |
Conflict Minerals Report for the Calendar Year Ended December 31, 2024 Exhibit 1.01 Quantum Corporation Conflict Minerals Report for the Calendar Year Ended December 31, 2024 This conflict minerals report contains forward-looking statements. These statements include Quantum’s goals for its conflict minerals program and the actions Quantum intends to take to improve transparency and reporting. All forward-looking statements involve risk and uncertainty. When consideri |
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| May 6, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 6, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) (Co |
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| May 6, 2025 |
Quantum Announces Preliminary Fiscal Fourth Quarter 2025 Financial Results Exhibit 99.1 Quantum Announces Preliminary Fiscal Fourth Quarter 2025 Financial Results SAN JOSE, Calif. — May 6, 2025 — Quantum Corporation (Nasdaq: QMCO) ("Quantum" or the "Company"), a leader in solutions for AI and unstructured data, today announced select preliminary financial results for its fiscal fourth quarter of 2025 ended March 31, 2025. Based on preliminary unaudited financials, the Co |
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| April 29, 2025 |
Submission of Matters to a Vote of Security Holders 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): April 24, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| April 29, 2025 |
Quantum Corporation Up to 17,550,626 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration File No. 333-286635 Quantum Corporation Up to 17,550,626 Shares of Common Stock This prospectus relates to the resale from time to time of up to 17,550,626 shares of common stock, $0.01 par value per share (the “common stock”), of Quantum Corporation, a Delaware corporation (“Quantum”), by YA II PN, Ltd., a Cayman Islands exempt limited partnership (th |
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| April 24, 2025 |
QUANTUM CORPORATION 224 Airport Parkway, Suite 550 San Jose, CA 95110 April 24, 2025 QUANTUM CORPORATION 224 Airport Parkway, Suite 550 San Jose, CA 95110 April 24, 2025 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 18, 2025 |
As filed with the Securities and Exchange Commission on April 18, 2025 As filed with the Securities and Exchange Commission on April 18, 2025 Registration No. |
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| April 18, 2025 |
Exhibit 107 Calculation of Filing Fee Tables S-3 (Form Type) Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, $0. |
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| April 17, 2025 |
Financial Statements and Exhibits, Other Events 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): April 16, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| April 17, 2025 |
QUANTUM CORPORATION CONSOLIDATED BALANCE SHEETS (in thousands, except per share amounts) Exhibit 99.1 REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Board of Directors and Shareholders Quantum Corporation Opinion on the financial statements We have audited the accompanying consolidated balance sheet of Quantum Corporation (a Delaware corporation) and subsidiaries (the “Company”) as of March 31, 2024, the related consolidated statement of operations and comprehensive loss, con |
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| April 3, 2025 |
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): March 28, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File |
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| April 3, 2025 |
Exhibit 10.1 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 March 26, 2025 Kenneth P. Gianella Via email Dear Ken: This letter agreement (this Letter Agreement) reflects the agreement between you and Quantum Corporation (the Company) regarding certain compensation matters. Reference is made to (1) the offer letter agreement between you and the Company da |
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| March 27, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 20, 2025 |
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): March 19, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| March 17, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| February 21, 2025 |
EX-99 2 p25-0590exhibit99.htm SCHEDULE A SCHEDULE A This Schedule sets forth information with respect to each purchase and sale of shares of Common Stock which were effectuated by the Reporting Persons since the filing of the Original Schedule 13D. Except as noted below, all such transactions were effected by the Reporting Persons in the open market through brokers and the price per share excludes |
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| February 12, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 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 |
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| February 12, 2025 |
Exhibit 10.3 [Execution] EIGHTEENTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS EIGHTEENTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of November 25, 2024 (the “Eighteenth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO HOLDING |
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| February 12, 2025 |
Exhibit 10.1 ELEVENTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS ELEVENTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of October 28, 2024 (the “Eleventh Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreement as a borrower |
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| February 12, 2025 |
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): February 12, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organizatio |
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| February 12, 2025 |
Exhibit 10.2 Execution Version SEVENTEENTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS SEVENTEENTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of October 28, 2024, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability |
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| February 12, 2025 |
Exhibit 99.1 Quantum Reports Fiscal Third Quarter 2025 Financial Results Execution on Business Transformation Drives Significant Year-Over-Year Improvements Takes Initial Step on Path Toward Becoming Debt-Free SAN JOSE, Calif. — February 12, 2025 — Quantum Corporation (Nasdaq: QMCO) ("Quantum" or the "Company"), a leader in solutions for AI and unstructured data, announced today financial results |
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| February 11, 2025 |
Quantum Corporation Up to 2,302,733 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration File No. 333-284528 PROSPECTUS Quantum Corporation Up to 2,302,733 Shares of Common Stock This prospectus relates to the resale from time to time of up to 2,302,733 shares of common stock, $0.01 par value per share (the “common stock”), of Quantum Corporation, a Delaware corporation (“Quantum”), by YA II PN, Ltd., a Cayman Islands exempt limited partne |
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| February 7, 2025 |
QUANTUM CORPORATION 224 Airport Parkway, Suite 550 San Jose, CA 95110 February 7, 2025 QUANTUM CORPORATION 224 Airport Parkway, Suite 550 San Jose, CA 95110 February 7, 2025 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 6, 2025 |
As filed with the Securities and Exchange Commission on February 6, 2025. As filed with the Securities and Exchange Commission on February 6, 2025. Registration No. 333-284528 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-1/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 3572 94-2665054 (State or Other Jurisdiction of Incorpor |
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| January 27, 2025 |
Exhibit 10.60 Execution Version NINETEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS NINETEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of January 27, 2025 (the “Nineteenth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Qu |
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| January 27, 2025 |
Warrant Agreement dated June 1, 2023 by and between the Company and Armory Securities, LLC Exhibit 4.29 SCHEDULE B - FORM OF WARRANT THIS WARRANT; AND THE SHARES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY STATE SECURITIES LAWS, AND MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR, SUBJECT TO SECTION 11 HEREOF, AN OPINION OF COUN |
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| January 27, 2025 |
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): January 25, 2025 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| January 27, 2025 |
Exhibit 10.3 Execution Version NINETEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS NINETEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of January 27, 2025 (the “Nineteenth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Qua |
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| January 27, 2025 |
Exhibit 10.2 EXECUTION VERSION TWELFTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS TWELFTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of January 27, 2025 (the “Twelfth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined t |
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| January 27, 2025 |
Exhibit 10.1 Execution Version STANDBY EQUITY PURCHASE AGREEMENT THIS STANDBY EQUITY PURCHASE AGREEMENT (this “Agreement”) dated as of January 25, 2025, is made by and between YA II PN, LTD., a Cayman Islands exempt limited company (the “Investor”), and QUANTUM CORPORATION, a company incorporated under the laws of the State of Delaware (the “Company”). The Investor and the Company may be referred |
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| January 27, 2025 |
Exhibit 10.58 Execution Version STANDBY EQUITY PURCHASE AGREEMENT THIS STANDBY EQUITY PURCHASE AGREEMENT (this “Agreement”) dated as of January 25, 2025, is made by and between YA II PN, LTD., a Cayman Islands exempt limited company (the “Investor”), and QUANTUM CORPORATION, a company incorporated under the laws of the State of Delaware (the “Company”). The Investor and the Company may be referred |
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| January 27, 2025 |
As filed with the Securities and Exchange Commission on January 27, 2025. As filed with the Securities and Exchange Commission on January 27, 2025. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Delaware 3572 94-2665054 (State or Other Jurisdiction of Incorporation or Organization) (Pri |
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| January 27, 2025 |
Calculation of Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables S-1 (Form Type) Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, $0. |
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| January 27, 2025 |
Exhibit 10.59 EXECUTION VERSION TWELFTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS TWELFTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of January 27, 2025 (the “Twelfth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined |
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| January 27, 2025 |
Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF QUANTUM CORPORATION, a Delaware Corporation Quantum Corporation, a corporation organized and existing under the laws of the State of Delaware, certifies that: 1.This Amended and Restated Certificate of Incorporation is to become effective August 13, 2007. 2.The original Certificate of Incorporation of the Corporation was filed with t |
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| January 6, 2025 |
JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k) EXHIBIT 99.1 JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to such statement on Schedule 13D may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned a |
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| December 4, 2024 |
US747RGT0178 / RIGHTS QUANTUM CORP / Neuberger Berman Group LLC Passive Investment SC 13G/A 1 formsc13ga-12042024051215.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* QUANTUM CORP /DE/ (Name of Issuer) Common (Title of Class of Securities) 747906501 (CUSIP Number) November 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 18, 2024 |
November 18, 2024 VIA EDGAR Ms. Joyce Sweeney Ms. Kathleen Collins United States Securities and Exchange Commission Division of Corporate Finance, Office of Technology 100 F Street, NE Washington, D.C. 20549 Re: Quantum Corporation Form 10-K for Fiscal Year Ended March 31, 2024 Filed June 28, 2024 File No. 001-13449 Dear Ms. Joyce Sweeney and Ms. Kathleen Collins: Quantum Corporation (the “Company |
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| November 14, 2024 |
Amended and Restated Certificate of Incorporation of the Company, as amended through August 26, 2024 Delaware The First State Page 1 I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF “QUANTUM CORPORATION”, FILED IN THIS OFFICE ON THE TWENTY-FIRST DAY OF AUGUST, A.D. 2024, AT 11:08 O`CLOCK A.M. AND I DO HEREBY FURTHER CERTIFY THAT THE EFFECTIVE DATE OF THE AFORESAID CERTIFICATE OF AMENDME |
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| November 14, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 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 Numbe |
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| November 14, 2024 |
Quantum Corporation Executive Compensation Recoupment Policy Executive Compensation Recoupment Policy 1.Purpose Quantum Corporation, a Delaware corporation (the Company), has adopted this Executive Compensation Recoupment Policy (this Policy) to comply with Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, as codified by Section 10D of the Securities Exchange Act of 1934, as amended (the Exchange Act), and the Nasdaq Stoc |
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| November 13, 2024 |
Quantum Reports Fiscal Second Quarter 2025 Financial Results Exhibit 99.1 Quantum Reports Fiscal Second Quarter 2025 Financial Results SAN JOSE, Calif. — November 13, 2024 — Quantum Corporation (Nasdaq: QMCO) ("Quantum" or the "Company"), a leader in solutions for AI and unstructured data, announced today financial results for its fiscal second quarter 2025 ended September 30, 2024. Fiscal Second Quarter 2025 Financial Summary •Revenue was $70.5 million •GA |
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| November 13, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 13, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organizatio |
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| October 10, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): October 4, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| October 3, 2024 |
October 3, 2024 VIA EDGAR Ms. Joyce Sweeney Ms. Kathleen Collins United States Securities and Exchange Commission Division of Corporate Finance, Office of Technology 100 F Street, NE Washington, D.C. 20549 Re: Quantum Corporation Form 10-K for Fiscal Year Ended March 31, 2024 Filed June 28, 2024 File No. 001-13449 Dear Ms. Joyce Sweeney and Ms. Kathleen Collins: Quantum Corporation (the “Company”) |
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| September 26, 2024 |
September 26, 2024 VIA EDGAR Ms. Joyce Sweeney Ms. Kathleen Collins United States Securities and Exchange Commission Division of Corporate Finance, Office of Technology 100 F Street, NE Washington, D.C. 20549 Re: Quantum Corporation Form 10-K for Fiscal Year Ended March 31, 2024 Filed June 28, 2024 File No. 001-13449 Dear Ms. Joyce Sweeney and Ms. Kathleen Collins: Quantum Corporation (the “Compan |
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| September 23, 2024 |
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): September 17, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organizati |
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| September 16, 2024 |
As filed with the Securities and Exchange Commission on September 13, 2024 As filed with the Securities and Exchange Commission on September 13, 2024 Registration No. |
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| September 16, 2024 |
Exhibit 107 Calculation of Filing Fee Tables S-8 (Form Type) Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, par value $0. |
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| September 16, 2024 |
Quantum Corporation 2023 Long-Term Incentive Plan, as amended through June 27, 2024 Exhibit 99.1 QUANTUM CORPORATION 2023 LONG-TERM INCENTIVE PLAN As Amended through June 27, 2024 1.Purposes of the Plan; Award Types. The purposes of this Plan are to attract, retain and incentivize the best available personnel for positions of substantial responsibility, and to promote the success of the Company’s business. The Plan permits the grant of Incentive Stock Options, Nonstatutory Stock |
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| September 6, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 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 |
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| September 6, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 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 Numbe |
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| August 20, 2024 |
Submission of Matters to a Vote of Security Holders 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): August 15, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 15, 2024 |
QMCO / Quantum Corporation / PACIFIC INVESTMENT MANAGEMENT CO LLC - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 6)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) Pacific Investment Management Company LLC Attention: Zephram Yowell, Senior Vice President, Senior Counsel 650 Newport Center |
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| August 14, 2024 |
Exhibit 4.9 Execution Version THIS AMENDED AND RESTATED WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY |
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| August 14, 2024 |
Exhibit 4.1 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| August 14, 2024 |
Exhibit 4.5 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 14 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| August 14, 2024 |
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): August 13, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 14, 2024 |
Exhibit 10.1 EXECUTION VERSION TENTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS TENTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of August 13, 2024 (the “Tenth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreement as a b |
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| August 14, 2024 |
Exhibit 4.3 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 14 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| August 14, 2024 |
Exhibit 4.8 Execution Version THIS AMENDED AND RESTATED WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY |
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| August 14, 2024 |
Exhibit 10.2 Execution Version SIXTEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS SIXTEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of August 13, 2024, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO HOLDINGS, LLC, a Delaware l |
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| August 14, 2024 |
Exhibit 4.6 Execution Version THIS AMENDED AND RESTATED WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY |
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| August 14, 2024 |
Exhibit 4.4 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 14 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECURITIES LAWS, OR PU |
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| August 14, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 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 001 |
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| August 14, 2024 |
Warrant to Purchase Common Stock dated August 13, 2024 issued to OC III LVS XL LP. Exhibit 4.2 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 14 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| August 14, 2024 |
Exhibit 4.7 Execution Version THIS AMENDED AND RESTATED WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF ARTICLE 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY |
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| August 13, 2024 |
Quantum Reports Fiscal First Quarter 2025 Financial Results Exhibit 99.1 Quantum Reports Fiscal First Quarter 2025 Financial Results SAN JOSE, Calif. — August 13, 2024 — Quantum Corporation (Nasdaq: QMCO) ("Quantum" or the "Company"), a leader in solutions for AI and unstructured data, announced today financial results for its fiscal first quarter 2025 ended June 30, 2024. Fiscal First Quarter 2025 Financial Summary •Revenue was $71.3 million •GAAP gross p |
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| August 13, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 13, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| August 2, 2024 |
| 1© 2024 Quantum Corporation UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 12, 2024 |
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): July 11, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File |
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| July 12, 2024 |
Exhibit 10.2 Execution version FIFTEENTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS FIFTEENTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of July 11, 2024 (the “Fifteenth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO HOLDINGS |
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| July 12, 2024 |
Exhibit 4.3 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| July 12, 2024 |
Exhibit 4.1 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 14 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| July 12, 2024 |
Exhibit 4.6 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| July 12, 2024 |
Exhibit 4.2 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| July 12, 2024 |
Exhibit 4.5 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| July 12, 2024 |
Exhibit 4.4 Execution Version THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECU |
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| July 12, 2024 |
Exhibit 10.1 Execution version NINTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS NINTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of July 11, 2024 (the “Ninth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreement as a bor |
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| July 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| July 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| June 28, 2024 |
Quantum Corporation 2023 Long-Term Incentive Plan Exhibit 10.32 QUANTUM CORPORATION 2023 LONG-TERM INCENTIVE PLAN (Adopted on July 23, 2023) 1.Purposes of the Plan; Award Types. The purposes of this Plan are to attract, retain and incentivize the best available personnel for positions of substantial responsibility, and to promote the success of the Company’s business. The Plan permits the grant of Incentive Stock Options, Nonstatutory Stock Optio |
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| June 28, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 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 001-13449 |
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| June 28, 2024 |
Amended and Restated Bylaws of the Company, as amended through February 8, 2016 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF QUANTUM CORPORATION (as amended on November 18, 2008) TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES 1 2.5 NOTICE OF STOCKHOLDERS’ MEETINGS 4 2.6 QUORUM 5 2.7 ADJOURNED ME |
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| June 28, 2024 |
Offer Letter dated November 9, 2023 by and between the Company and Henk Jan Spanjaard Exhibit 10.49 Quantum Storage UK Ltd The Lightbox Willoughby Road Bracknell RG12 8FB PRIVATE & CONFIDENTIAL Henk Jan Spanjaard 9 November 2023 Dear Henk Jan, Role of Chief Revenue Officer Quantum Storage UK Ltd., a subsidiary of Quantum Corporation (Quantum or the Company), is pleased to offer you the position of Chief Revenue Officer with effect from 9 November 2023. In this role, you should repo |
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| June 28, 2024 |
Quantum Corporation Employee Stock Purchase Plan Agreement, as amended and restated on July 25, 2023 Exhibit 10.33 QUANTUM CORPORATION EMPLOYEE STOCK PURCHASE PLAN (As Amended and Restated July 25, 2023) The following constitute the provisions of the Employee Stock Purchase Plan (herein called the “Plan”) of Quantum Corporation (herein called the “Company”). 1. Purpose. The purpose of the Plan is to provide Employees of the Company and its Designated Subsidiaries with an opportunity to purchase C |
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| June 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| June 18, 2024 |
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 12, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File |
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| June 18, 2024 |
by and between the Company and John R. Tracy Exhibit 10.1 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Mr. John R. Tracy Via electronic mail June 12, 2024 Dear John: We are pleased to offer you the opportunity to serve on the Board of Directors (the Board) of Quantum Corporation (Quantum), effective upon your signing and returning this letter and following the Board’s approval of your appointment |
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| June 17, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 17, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) ( |
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| June 17, 2024 |
Quantum Reports Fiscal Full Year 2024 Financial Results Exhibit 99.1 Quantum Reports Fiscal Full Year 2024 Financial Results SAN JOSE, Calif. — June 17, 2024 — Quantum Corporation (Nasdaq: QMCO) ("Quantum" or the "Company"), a leader in solutions for AI and unstructured data, announced today financial results for its fiscal full year 2024 ended March 31, 2024. Fiscal 2024 Financial Summary •Revenue was $311.6 million •GAAP gross profit was $124.9 milli |
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| June 10, 2024 |
by and between the Company and Todd W. Arden Exhibit 10.1 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Mr. Todd Arden Via electronic mail June 6, 2024 Dear Todd: We offer you the opportunity to serve on the Board of Directors (the Board) of Quantum Corporation (Quantum) following the Board’s approval of your appointment, which we anticipate occurring on or before June 6, 2024. As compensation for |
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| June 10, 2024 |
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, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 30, 2024 |
Exhibit 1.01 -- Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Exhibit 1.01 Quantum Corporation Conflict Minerals Report for the Calendar Year Ended December 31, 2023 This conflict minerals report contains forward-looking statements. These statements include Quantum’s goals for its conflict minerals program and the actions Quantum intends to take to improve transparency and reporting. All forward-looking statements involve risk and uncertainty. When consideri |
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| May 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report QUANTUM CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-13449 (State or other jurisdiction of incorporation) (Commission file number) 224 Airport Parkway, Suite 550, San Jose, California 95110 (Address of principal executive offices) (Zip code) Brian E. Cabr |
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| May 29, 2024 |
Warrants to Purchase Common Stock, dated May 24th 2024, issued to OC III LVS XL LP Exhibit 4.2 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 14 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECURITIES LAWS, OR PU |
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| May 29, 2024 |
Form of Warrant to purchase Common Stock, dated May 24, 2024 Exhibit 4.1 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 15 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECURITIES LAWS, OR PU |
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| May 29, 2024 |
Exhibit 10.2 Execution Version FOURTEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS FOURTEENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of May 24, 2024 (the “Fourteenth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum |
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| May 29, 2024 |
Exhibit 10.1 EIGHTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS EIGHTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of May 24, 2024 (the “Eighth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreement as |
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| May 29, 2024 |
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): May 22, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| May 3, 2024 |
Quantum Provides Updated Plan to Nasdaq EX-99.1 Exhibit 99.1 Quantum Provides Updated Plan to Nasdaq SAN JOSE, Calif., May 3, 2024 – Quantum Corporation (Nasdaq: QMCO) (“Quantum” or the “Company”), a leader in solutions for AI and unstructured data, today provided an update related to the Company’s efforts to become current with its SEC financial reports. As previously announced on April 12, 2024, The Nasdaq Stock Market LLC (Nasdaq) gr |
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| May 3, 2024 |
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): May 3, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| April 12, 2024 |
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): April 8, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File |
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| April 12, 2024 |
Quantum Provides Additional Business Updates Exhibit 99.1 Quantum Provides Additional Business Updates SAN JOSE, Calif., April 12, 2024 – Quantum Corporation (Nasdaq: QMCO), a leader in solutions for AI and unstructured data, provided additional updates on its business. Fiscal Fourth Quarter 2024 Liquidity Update Quantum’s unaudited cash and long-term debt balances as of March 31, 2024, are provided below: • Cash and cash equivalents were $2 |
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| March 25, 2024 |
Exhibit 10.1 SIXTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS SIXTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of March 22, 2024 (the “Sixth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreement as a borrower from time t |
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| March 25, 2024 |
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): March 19, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File |
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| March 25, 2024 |
Exhibit 10.2 Execution TWELFTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS TWELFTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of March 22, 2024, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability company (“Quantum |
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| February 20, 2024 |
Exhibit 10.1 [Execution Copy] FIFTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS FIFTH AMENDMENT AND WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of February 14, 2024 (the “Fifth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the |
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| February 20, 2024 |
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): February 14, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission F |
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| February 20, 2024 |
Exhibit 10.2 Execution Version ELEVENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS ELEVENTH AMENDMENT AND WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of February 14, 2024 (the “Eleventh Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum” |
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| February 14, 2024 |
EX-1 2 ex1.htm EXHIBIT 1 Exhibit 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the |
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| February 14, 2024 |
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): February 13, 2024 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission F |
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| February 14, 2024 |
QMCO / Quantum Corporation / Long Focus Capital Management, Llc - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* QUANTUM CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 747906501 (CUSIP Number) Long Focus Capital Management LLC 207 Calle Del Parque A&M Tower, 8th Floor San Juan, PR 00912 (787) 333-0240 (Name, Address and Telephone Number of |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| February 13, 2024 |
QMCO / Quantum Corporation / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Quantum Corp Title of Class of Securities: Common Stock CUSIP Number: 747906501 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule 13d-1 |
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| February 12, 2024 |
QMCO / Quantum Corporation / Neuberger Berman Group LLC Passive Investment SC 13G/A 1 formsc13ga-02122024080249.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* QUANTUM CORP /DE/ (Name of Issuer) Common (Title of Class of Securities) 747906501 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 17, 2024 |
QMCO / Quantum Corporation / ADK Soho Fund LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| December 4, 2023 |
QMCO / Quantum Corp / ADK Soho Fund LP Passive Investment SC 13G 1 sc13gadkcapital.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) August 18, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate |
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| November 17, 2023 |
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): November 14, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 17, 2023 |
Quantum Announces Notification from Nasdaq Related to Delayed Form 10-Q Filing EX-99.1 Exhibit 99.1 Quantum Announces Notification from Nasdaq Related to Delayed Form 10-Q Filing SAN JOSE, Calif. — November 17, 2023 — Quantum Corporation (NASDAQ: QMCO) (“Quantum” or the “Company”) announced today that it received a notice (the “Notice”) from the Listing Qualifications staff of the Nasdaq Stock Market LLC (“Nasdaq”) on November 14, 2023 stating that the Company is not in comp |
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| November 16, 2023 |
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): November 9, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| November 16, 2023 |
EX-99.1 Exhibit 99.1 Quantum Appoints Henk Jan Spanjaard as Chief Revenue Officer Spanjaard Will Lead Global Sales Strategy and Execution as Company Seeks to Capitalize on Improved Pipeline and Maximize Opportunities with its Expanding Product Portfolio SAN JOSE, Calif. — November 16, 2023 — Quantum Corporation (NASDAQ: QMCO) (Quantum or the Company) today announced the appointment of Henk Jan Spa |
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| November 13, 2023 |
EX-10.2 Exhibit 10.2 WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS WAIVER TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Waiver”), dated as of November 13, 2023 (the “Waiver Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability company (“Qu |
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| November 13, 2023 |
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): November 10, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission F |
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| November 13, 2023 |
EX-10.1 Exhibit 10.1 WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS WAIVER TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Waiver”), dated as of November 10, 2023 (the “Waiver Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreement as a borrower from time to time, collectivel |
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| November 13, 2023 |
NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| November 13, 2023 |
EX-99.1 Exhibit 99.1 Quantum Files Form 12b-25 Notification of Late filing Announces Postponement of Second Quarter Earnings Release and Conference Call SAN JOSE, Calif. — November 13, 2023 — Quantum Corporation (NASDAQ: QMCO) (“Quantum or the “Company”) announced today that it has filed a Form 12b-25 Notification of Late Filing because it is unable to file its Quarterly Report on Form 10-Q for th |
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| September 26, 2023 |
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): September 20, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organizati |
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| September 14, 2023 |
Submission of Matters to a Vote of Security Holders 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): September 12, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 21, 2023 |
Letter from Armanino LLP dated August 21, 2023 Exhibit 16.1 August 21, 2023 Securities and Exchange Commission 100 F Street N.E. Washington D.C. 20549-7561 Commissioners: We have read Item 4.01 of the Current Report on Form 8-K of Quantum Corporation dated August 21, 2023, which we understand will be filed with the Securities and Exchange Commission, and we agree with the statements concerning our firm contained in such Form 8-K. We have no ba |
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| August 21, 2023 |
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): August 21, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| August 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| August 8, 2023 |
Quantum Reports First Quarter Fiscal 2024 Results Quantum Reports First Quarter Fiscal 2024 Results SAN JOSE, Calif. — August 8, 2023 — Quantum Corporation (Nasdaq: QMCO) announced today financial results for its fiscal first quarter ended June 30, 2023. First Quarter Fiscal 2024 Financial Summary •Revenue was $91.8 million, a decrease of 5% year-over-year •GAAP gross margin was 38.1%, and non-GAAP gross margin expanded to 38.3% •Subscription ARR |
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| August 8, 2023 |
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): August 8, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| August 8, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 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 001 |
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| July 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| July 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defini |
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| July 27, 2023 |
Letter from Armanino LLP dated July 27, 2023 Exhibit 16.1 July 27, 2023 Securities and Exchange Commission 100 F Street N.E. Washington D.C. 20549-7561 Commissioners: We have read Item 4.01 of the Current Report on Form 8-K of Quantum Corporation dated July 27, 2023, which we understand will be filed with the Securities and Exchange Commission, and we agree with the statements concerning our firm contained in such Form 8-K. We have no basis |
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| July 27, 2023 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 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): July 21, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission File |
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| July 14, 2023 |
QMCO / Quantum Corp / PACIFIC INVESTMENT MANAGEMENT CO LLC - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 5)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) Pacific Investment Management Company LLC Attention: Zephram Yowell, Senior Vice President, Senior Counsel 650 Newport Center |
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| June 14, 2023 |
QMCO / Quantum Corp / PACIFIC INVESTMENT MANAGEMENT CO LLC - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) Pacific Investment Management Company LLC Attention: Zephram Yowell, Senior Vice President, Senior Counsel 650 Newport Center |
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| June 6, 2023 |
Amendment No. 1 to 2021 Inducement Plan. Exhibit 99.2 AMENDMENT NO. 1 TO QUANTUM CORPORATION 2021 INDUCEMENT PLAN RECITALS A. On February 1, 2021 the board of directors (the Board) of Quantum Corporation, a Delaware corporation (the Company) adopted the Quantum Corporation 2021 Inducement Plan (the Plan). B. On December 30, 2022 (the Effective Date), the Leadership and Compensation Committee of the Board (the Committee) approved an amend |
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| June 6, 2023 |
TENTH AMENDMENT to AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS TENTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of June 1, 2023, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability company (“Quantum LTO” and together with Quantu |
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| June 6, 2023 |
Amendment No. 1 to 2021 Inducement Plan Exhibit 99.2 AMENDMENT NO. 1 TO QUANTUM CORPORATION 2021 INDUCEMENT PLAN RECITALS A. On February 1, 2021 the board of directors (the Board) of Quantum Corporation, a Delaware corporation (the Company) adopted the Quantum Corporation 2021 Inducement Plan (the Plan). B. On December 30, 2022 (the Effective Date), the Leadership and Compensation Committee of the Board (the Committee) approved an amend |
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| June 6, 2023 |
Exhibit 107 Calculation of Filing Fee Tables S-8 (Form Type) Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid Fees Previously Paid Equity Common Stock, par value $0. |
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| June 6, 2023 |
Amended and Restated Certificate of Incorporation of the Company, as Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF QUANTUM CORPORATION, a Delaware Corporation Quantum Corporation, a corporation organized and existing under the laws of the State of Delaware, certifies that: a.This Amended and Restated Certificate of Incorporation is to become effective August 13, 2007. b.The original Certificate of Incorporation of the Corporation was filed with t |
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| June 6, 2023 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 Exhibit 4.1 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Quantum Corporation (the “Company”) has one class of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934: common stock, par value $0.01 per share (“Common Stock”). The following description summarizes the most important terms of the Company’s C |
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| June 6, 2023 |
AMENDMENT NO. 1 AND JOINDER TO AMENDED & RESTATED REGISTRATION RIGHTS AGREEMENT THIS AMENDMENT NO. 1 AND JOINDER TO AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT (this “Amendment and Joinder”) is made and entered into as of June 1, 2023, by and among Quantum Corporation, a Delaware corporation (the “Company”), OC II FIE V LP, a Delaware limited partnership (“OC II”), Blue Torch Credit Opportu |
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| June 6, 2023 |
Amended and Restated Bylaws of the Company, as amended through February 8, 2016 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF QUANTUM CORPORATION (as amended on November 18, 2008) TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES. 1 1.1 REGISTERED OFFICE.. 1 1.2 OTHER OFFICES. 1 ARTICLE II - MEETINGS STOCKHOLDERS. 1 2.1 PLACE OF MEETINGS. 1 2.2 ANNUAL MEETING.. 1 2.3 SPECIAL MEETING.. 1 2.4 ADVANCE NOTICE PROCEDURES. 1 2.5 NOTICE OF STOCKHOLDERS’ MEETINGS. 4 2.6 QUORUM... 5 2 |
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| June 6, 2023 |
Offer Letter dated June 5, 2023 by and between the Company and Laura Nash Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Via email to Ms. |
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| June 6, 2023 |
Warrant to Purchase Common Stock, dated June 1, 2023, Warrant No. 2023-2, issued to OC III LVS XL LP THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND, EXCEPT AND PURSUANT TO THE PROVISIONS OF SECTION 14 BELOW, MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE ACT AND ANY APPLICABLE STATE SECURITIES LAWS, OR PURSUANT TO RULE 144 OR ANOTHER EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF THE ACT AND ANY APPLICABLE STATE SECURITIES LAWS. |
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| June 6, 2023 |
EX-99.1 7 fy23q4exhibit991.htm EX-99.1 Quantum Reports Fourth Quarter and Fiscal 2023 Results Revenue Increases 10.7% Year-over-Year to $412.8 Million SAN JOSE, Calif. — June 6, 2023 — Quantum Corporation (NASDAQ: QMCO) announced today financial results for its fiscal fourth quarter and fiscal year ended March 31, 2023. Fourth Quarter Fiscal 2023 Financial Summary •Revenue increased 10.7% year-ove |
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| June 6, 2023 |
FOURTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS FOURTH AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this “Amendment”), dated as of June 1, 2023 (the “Fourth Amendment Effective Date”), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (“Quantum”, and together with each other Person joined to the Credit Agreement as a borrower from time to time, coll |
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| June 6, 2023 |
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): May 31, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) (C |
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| June 6, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2023 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 001-13449 |
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| June 6, 2023 |
As filed with the Securities and Exchange Commission on June 6, 2023 As filed with the Securities and Exchange Commission on June 6, 2023 Registration No. |
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| May 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report QUANTUM CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-13449 (State or other jurisdiction of incorporation or organization) (Commission File Number) 224 Airport Parkway, Suite 550, San Jose, California 95110 (Address of principal executive offices) (Zip Cod |
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| May 31, 2023 |
Exhibit 1.01 -- Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Exhibit 1.01 Quantum Corporation Conflict Minerals Report for the Calendar Year Ended December 31, 2022 This conflict minerals report contains forward-looking statements. These statements include Quantum’s goals for its conflict minerals program and the actions Quantum intends to take to improve transparency and reporting. All forward-looking statements involve risk and uncertainty. When consideri |
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| May 11, 2023 |
QMCO / Quantum Corp / Long Focus Capital Management, Llc - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* QUANTUM CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 747906501 (CUSIP Number) Long Focus Capital Management LLC 207 Calle Del Parque A&M Tower, 8th Floor San Juan, PR 00912 (787) 333-0240 (Name, Address and Telephone Number of |
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| May 11, 2023 |
Exhibit 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on this Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the necessity of filing additional joint acquisition statements. |
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| February 10, 2023 |
QMCO / Quantum Corp / Neuberger Berman Group LLC - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* QUANTUM CORP /DE/ (Name of Issuer) COMMON (Title of Class of Securities) 747906501 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 10, 2023 |
QMCO / Quantum Corp / Senvest Management, LLC - QUANTUM CORPORATION Passive Investment SC 13G/A 1 p23-0644sc13ga.htm QUANTUM CORPORATION SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 2, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 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 |
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| February 2, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 2, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization |
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| February 2, 2023 |
Quantum Reports Third Quarter Fiscal 2023 Results Revenue Increases 16.6% Year-over-Year to $111.2 Million; Growth Drives Further EBITDA Expansion SAN JOSE, Calif. — February 2, 2023 — Quantum Corporation (NASDAQ: QMCO) announced today financial results for its fiscal third quarter ended December 31, 2022. Third Quarter Fiscal 2023 Financial Summary •Revenue increased 16.6% year-over-year and 12.2 |
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| January 27, 2023 |
As filed with the Securities and Exchange Commission on January 27, 2023 As filed with the Securities and Exchange Commission on January 27, 2023 Registration No. |
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| January 27, 2023 |
Calculation of Filing Fee Tables S-8 (Form Type) Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be Paid Equity Common Stock, par value $0. |
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| January 17, 2023 |
Quantum Corporation 361,010 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-269061 PROSPECTUS Quantum Corporation 361,010 shares of Common Stock This prospectus relates to the offer and sale from time to time by the selling stockholders named in this prospectus of up to an aggregate of 361,010 shares of our common stock, pursuant to the methods described under “Plan of Distribution” starting on page 8 of this prospectu |
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| January 11, 2023 |
Transition Agreement dated January 9, 2023 by and between the Company and J. Michael Dodson Exhibit 10.3 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Mr. James Michael Dodson January 9, 2023 Dear Mike: Thank you for your incredible contributions to Quantum during your time here. I appreciate your willingness to help us with a seamless transition of the CFO role and wanted to document the terms of our discussion: Timeframe You will transition |
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| January 11, 2023 |
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): January 10, 2023 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| January 11, 2023 |
Exhibit 99.1 Quantum Announces CFO Transition Provides Preliminary Third Quarter Fiscal 2023 Revenue Above High-end of Guidance SAN JOSE, Calif. — January 10, 2023 — Quantum Corporation (NASDAQ: QMCO), a leader in providing technology solutions for organizations to more effectively manage video and other unstructured data, announced the appointment of Kenneth Gianella as its Chief Financial Office |
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| January 11, 2023 |
Offer Letter dated December 15, 2022 by and between the Company and Kenneth P. Gianella Exhibit 10.1 Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Via email to Mr. Kenneth P. Gianella December 15, 2022 Dear Ken: I am pleased to offer to you the opportunity to join Quantum Corporation (Quantum or the Company) as our Chief Financial Officer (CFO), reporting directly to Jamie Lerner, President and Chief Executive Officer. Your start date will |
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| January 11, 2023 |
QUANTUM CORPORATION 224 Airport Parkway, Suite 550 San Jose, CA 95110 January 11, 2023 QUANTUM CORPORATION 224 Airport Parkway, Suite 550 San Jose, CA 95110 January 11, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| December 29, 2022 |
As filed with the Securities and Exchange Commission on December 29, 2022 As filed with the Securities and Exchange Commission on December 29, 2022 Registration No. |
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| December 29, 2022 |
QUANTUM CORPORATION 224 Airport Parkway Suite 550 San Jose, California 95110 RW 1 s-3rw.htm RW QUANTUM CORPORATION 224 Airport Parkway Suite 550 San Jose, California 95110 December 29, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Joshua Shainess RE: Quantum Corporation Request for Withdrawal of Registration Statement on Form S-3ASR File No. 333-269022 Ladies and Gentlemen: Pursuant to |
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| December 29, 2022 |
Calculation of Filing Fee Tables S-3 (Form Type) Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid Equity Common Stock Other 361,010 $ 1. |
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| December 27, 2022 |
As filed with the Securities and Exchange Commission on December 27, 2022 As filed with the Securities and Exchange Commission on December 27, 2022 Registration No. |
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| December 27, 2022 |
Calculation of Filing Fee Tables S-3 (Form Type) Quantum Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid Equity Common Stock Other 361,010 $ 1. |
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| November 2, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 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 Numbe |
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| November 2, 2022 |
Quantum Reports Second Quarter Fiscal 2023 Results Revenue of $99.1 Million at High-End of Guidance Amid Improving Supply Chain; Guides to Continued Revenue Growth SAN JOSE, Calif. — November 2, 2022 — Quantum Corporation (NASDAQ: QMCO) announced today financial results for its fiscal second quarter ended September 30, 2022. Second Quarter Fiscal 2023 Financial Summary •Revenue increased 6% year-o |
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| November 2, 2022 |
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): November 2, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization |
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| November 2, 2022 |
Certificate of Amendment to the Amended and Restated Certificate of Incorporation EX-10.4 2 quantumcorporation-certifi.htm EX-10.4 Delaware The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF “QUANTUM CORPORATION”, FILED IN THIS OFFICE ON THE NINETEENTH DAY OF AUGUST, A.D. 2022, AT 1:34 O`CLOCK P.M. 2115952 8100 Authentication: 204205777 SR# 20223311085 D |
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| September 28, 2022 |
Director Offer Letter dated September 16, 2022 by and between the Company and Don Jaworski Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Mr. |
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| September 28, 2022 |
Quantum Corporation Individual Indemnification Agreement This Indemnification Agreement (?Agreement?) is made as of this day of , , by and between Quantum Corporation, a Delaware corporation (the ?Company?) and (?Indemnitee?), an officer, Director, or other executive of the Company. |
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| September 28, 2022 |
Quantum Announces Two New Directors Directors to contribute extensive expertise in end-to-end data management solutions SAN JOSE, Calif. |
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| September 28, 2022 |
Director Offer Letter dated September 16, 2022 by and between the Company and Hugues Meyrath Quantum Corporation 224 Airport Parkway Suite 550 San Jose, CA 95110 USA +1 [408] 944-4000 Mr. |
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| September 28, 2022 |
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): September 22, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organizati |
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| August 24, 2022 |
QMCO / Quantum Corp / PACIFIC INVESTMENT MANAGEMENT CO LLC - SC 13D/A Activist Investment SC 13D/A CUSIP No. 747906501 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) Pacific Investment Management Company LLC Attention: Zephram Yowell, Senior Vice President, Senior Counsel |
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| August 22, 2022 |
Submission of Matters to a Vote of Security Holders 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): August 16, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or Other Jurisdiction of Incorporation) (Commission Fil |
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| August 12, 2022 |
QMCO / Quantum Corp / PACIFIC INVESTMENT MANAGEMENT CO LLC - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) Pacific Investment Management Company LLC Attention: Zephram Yowell, Senior Vice President, Senior Counsel 650 Newport Center Drive New |
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| August 8, 2022 |
QMCO / Quantum Corp / B. Riley Financial, Inc. - AMENDMENT NO. 7 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) QUANTUM CORPORATION (Name of Issuer) Common stock, $0.01 par value per share (Title of Class of Securities) 747906501 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90045 (818) 884-3737 (Nam |
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| August 4, 2022 |
Exhibit 10.1 NINTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS NINTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this ?Amendment?), dated as of April 25, 2022, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (?Quantum?), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability company (?Quantum LTO? and toget |
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| August 4, 2022 |
Quantum Reports First Quarter Fiscal 2023 Results Revenue Increased 9% Year-over-Year to $97. |
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| August 4, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 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 001 |
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| August 4, 2022 |
Exhibit 10.2 Execution Version THIRD AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS THIRD AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this ?Amendment?), dated as of April 25, 2022 (the ?Third Amendment Effective Date?), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (?Quantum?, and together with each other Person joined to the Credit Agreement as a bo |
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| August 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 4, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| July 5, 2022 |
Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 5, 2022 |
Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 16, 2022 |
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 16, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) ( |
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| June 16, 2022 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 10, 2022 |
QMCO / Quantum Corp / B. Riley Financial, Inc. - AMENDMENT NO. 6 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) QUANTUM CORPORATION (Name of Issuer) Common stock, $0.01 par value per share (Title of Class of Securities) 747906501 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90045 (818) 884-3737 (Nam |
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| June 8, 2022 |
Exhibit 10.31 SIXTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS SIXTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this ?Amendment?), dated as of August 5, 2021, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (?Quantum?), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability company (?Quantum LTO?, and tog |
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| June 8, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2022 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 001-13449 |
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| June 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 8, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) (C |
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| June 8, 2022 |
Quantum Reports Fourth Quarter and Fiscal 2022 Results Fourth Quarter Revenue of $95. |
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| June 8, 2022 |
Exhibit 10.30 FIFTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS FIFTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this ?Amendment?), dated as of February 5, 2021, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (?Quantum?), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability company (?Quantum LTO?; and t |
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| May 31, 2022 |
Conflict Minerals Report for the reporting period January 1, 2021 to December 31, 2021. Exhibit 1.01 Quantum Corporation Conflict Minerals Report for the Calendar Year Ended December 31, 2021 This conflict minerals report contains forward-looking statements. These statements include Quantum?s goals for its conflict minerals program and the actions Quantum intends to take to improve transparency and reporting. All forward-looking statements involve risk and uncertainty. When consideri |
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| May 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report QUANTUM CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-3449 94-2665054 (State or other jurisdiction of incorporation or organization) (Commission File Number) (I.R.S. Employer Identification No.) 224 Airport Parkway Suite 550 San Jose CA 95110 (Address of Pri |
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| May 20, 2022 |
QMCO / Quantum Corp / Neuberger Berman Group LLC - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* QUANTUM CORP /DE/ (Name of Issuer) COMMON (Title of Class of Securities) 747906501 (CUSIP Number) April 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| May 18, 2022 |
Shareholder Director Nominations 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): May 18, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) (C |
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| April 28, 2022 |
QMCO / Quantum Corp / B. Riley Financial, Inc. - AMENDMENT NO. 5 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) QUANTUM CORPORATION (Name of Issuer) Common stock, $0.01 par value per share (Title of Class of Securities) 747906501 (CUSIP Number) Bryant R. Riley B. Riley Financial, Inc. 11100 Santa Monica Boulevard, Suite 800 Los Angeles, CA 90045 (818) 884-3737 (Nam |
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| April 28, 2022 |
Exhibit 1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended, and the rules and regulations thereunder (the ?Exchange Act?) the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with respect to securities of Quantum Corporation, a Delaware corporation, and further agree to the filing, furnishing, and/or incorporation by reference of this Agreement as an exhibit thereto. |
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| April 27, 2022 |
Exhibit 10.1 NINTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT THIS NINTH AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AND SECURITY AGREEMENT (this ?Amendment?), dated as of April 25, 2022, is entered into by and among QUANTUM CORPORATION, a Delaware corporation (?Quantum?), QUANTUM LTO HOLDINGS, LLC, a Delaware limited liability company (?Quantum LTO? and toget |
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| April 27, 2022 |
Exhibit 10.2 Execution Version THIRD AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT THIS THIRD AMENDMENT TO TERM LOAN CREDIT AND SECURITY AGREEMENT (this ?Amendment?), dated as of April 25, 2022 (the ?Third Amendment Effective Date?), is entered into by and among QUANTUM CORPORATION, a Delaware corporation (?Quantum?, and together with each other Person joined to the Credit Agreement as a bo |
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| April 27, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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): April 22, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| April 26, 2022 |
QMCO / Quantum Corp / PACIFIC INVESTMENT MANAGEMENT CO LLC - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Quantum Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 747906501 (CUSIP Number) Pacific Investment Management Company LLC Attention: Zephram Yowell, Senior Vice President, Senior Counsel 650 Newport Center Drive New |
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| April 11, 2022 |
Exhibit 99.1 Quantum Reports Preliminary Revenue Results for Fourth Quarter Fiscal 2022 and Provides Update on Debt Arrangements SAN JOSE, Calif., April 11, 2022 - Quantum Corporation (NASDAQ: QMCO) announced today preliminary revenue results for its fiscal fourth quarter ended March 31, 2022. Revenue is expected to be $93 million, plus or minus $1 million, which is a tighter range with a higher m |
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| April 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events 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): April 11, 2022 Quantum Corporation (Exact name of registrant as specified in its charter) Delaware 001-13449 94-2665054 (State or other jurisdiction of incorporation or organization) |
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| March 29, 2022 |
Quantum Corporation Commences Rights Offering Exhibit 99.5 Quantum Corporation Commences Rights Offering SAN JOSE, Calif., March 29, 2022 ? Quantum Corporation (Nasdaq: QMCO) (the ?Company?) today commenced the previously announced rights offering to raise gross proceeds of up to approximately $67.5 million (the ?Rights Offering?). Under the terms of the Rights Offering, all holders of record of the Company?s common stock (?Common Stock?), an |
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| March 29, 2022 |
Exhibit 99.1 THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE PROSPECTUS OF THE COMPANY, DATED DECEMBER 9, 2020, AS SUPPLEMENTED BY THE PROSPECTUS SUPPLEMENT DATED MARCH 29, 2022 (AS SO SUPPLEMENTED, THE ?PROSPECTUS?), AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM ALLIANCE ADVISORS, LLC, THE INFORMATION AGENT, BY CALLING TOLL |
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| March 29, 2022 |
Exhibit 99.4 FORM OF NOTICE TO CLIENTS OF CUSTODIAN BANKS, BROKERS, DEALERS, OR OTHER NOMINEES QUANTUM CORPORATION Non-Transferable Subscription Rights to Purchase Shares of Common Stock, at a Subscription Price of $2.25 per Whole Share of Common Stock Distributed to Stockholders and Certain Warrant Holders of Quantum Corporation March 29, 2022 To Our Clients: Enclosed for your consideration are a |
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| March 29, 2022 |
Exhibit 4.1 Quantum Corporation Computershare Trust Company, N.A. 150 Royall Street Suite V Canton Massachusetts 02021 QUANTUM CORPORATION RIGHTS OFFERING THIS RIGHTS OFFERING EXPIRES AT 5:00 P.M., EASTERN TIME, ON APRIL 18, 2022, UNLESS THE EXERCISE PERIOD IS EXTENDED (SUCH DATE AND TIME, AS IT MAY BE EXTENDED, THE ?EXPIRATION DATE?). The registered owner, whose name is inscribed hereon, is the o |
