Filing Details

Accession Number:
0001213900-20-010318
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-04-28 19:44:03
Reporting Period:
2020-04-24
Accepted Time:
2020-04-28 19:44:03
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 No Yes
1658704 B. Riley Capital Management, Llc 11100 Santa Monica Blvd., Suite 800
Los Angeles, CA 90025
No No No Yes
1749420 Brc Partners Management Gp, Llc 11100 Santa Monica Blvd., Suite 800
Los Angeles, CA 90025
No No No Yes
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 2020-04-24 9,036 $3.80 5,989,100 No 4 P Indirect By B. Riley FBR, Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By B. Riley FBR, Inc.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,558,511 Indirect By BRC Partners Opportunity Fund, L.P.
Footnotes
  1. This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock ("Common Stock"). Each of the Filing Persons disclaims beneficial ownership of the shares of Common Stock of the Issuer reported herein except to the extent of its pecuniary interest therein.
  2. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM and BRFBR.
  3. By virtue of the relationships discussed in Footnote 2, BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRFBR.
  4. By virtue of the relationships discussed in Footnote 2, each of BRPGP, BRCM and BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRPLP.