Filing Details

Accession Number:
0001615774-19-000547
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-01-11 17:47:20
Reporting Period:
2019-01-09
Accepted Time:
2019-01-11 17:47:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
709283 Quantum Corp QTM Computer Storage Devices (3572) 942665054
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
852412 B. Riley Fbr, Inc. 11100 Santa Monica Blvd
Suite 800
Los Angeles CA 90025
No No Yes No
1325552 Dialectic Antithesis Partners, Lp 119 Rowayton Avenue
2Nd Floor
Norwalk CT 06853
No No Yes No
1464790 B. Riley Financial, Inc. 21255 Burbank Blvd.
Suite 400
Woodland Hills CA 91367
No No Yes No
1642765 Brc Partners Opportunity Fund, Lp 11100 Santa Monica Blvd. Suite 800
Los Angeles CA 90025
No No Yes No
1658704 B. Riley Capital Management, Llc 11100 Santa Monica Blvd.
Suite 800
Los Angeles CA 90025
No No Yes No
1704985 Br Dialectic Capital Management, Llc 119 Rowayton Avenue
2Nd Floor
Norwalk CT 06853
No No Yes No
1749420 Brc Partners Management Gp, Llc 11100 Santa Monica Blvd Suite 800
Los Angeles CA 90025
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-01-09 500,000 $1.59 2,195,124 No 4 P Indirect See notes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See notes
Footnotes
  1. In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").
  2. BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
  3. Represents shares of Common Stock owned directly by BRFBR.