Filing Details
- Accession Number:
- 0001213900-20-009862
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-04-22 18:03:14
- Reporting Period:
- 2020-04-20
- Accepted Time:
- 2020-04-22 18:03:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 709283 | Quantum Corp | QMCO | Computer Storage Devices (3572) | 942665054 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1464790 | B. Riley Financial, Inc. | 21255 Burbank Boulevard, Suite 400 Woodland Hills, CA 91367 | No | No | Yes | No | |
| 1505748 | B. Riley Fbr, Inc. | 11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025 | 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 | |
| 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 | 2020-04-20 | 40,200 | $3.90 | 8,517,204 | No | 4 | P | Indirect | See notes |
| Common Stock | Acquisiton | 2020-04-21 | 21,371 | $3.81 | 8,538,575 | No | 4 | P | Indirect | See notes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See notes |
| No | 4 | P | Indirect | See notes |
Footnotes
- In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 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"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").
- BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. 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.
- Represents shares of Common Stock owned directly by BRFBR.
Billionaire Hedge Funds
