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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Singer Eric 745 BOYLSTON STREET 3RD FLOOR BOSTON, MA 02116 |
X | See Explanation of Responses | ||
VIEX Opportunities Fund, LP Series One 745 BOYLSTON STREET 3RD FLOOR BOSTON, MA 02116 |
See Explanation of Responses | |||
VIEX Opportunities Fund, LP - Series Two 745 BOYLSTON STREET 3RD FLOOR BOSTON, MA 02116 |
See Explanation of Responses | |||
VIEX Special Opportunities Fund III, LP 745 BOYLSTON STREET 3RD FLOOR BOSTON, NY 10022 |
See Explanation of Responses | |||
VIEX GP, LLC 745 BOYLSTON STREET 3RD FLOOR BOSTON, NY 10022 |
See Explanation of Responses | |||
VIEX Special Opportunities GP III, LLC 745 BOYLSTON STREET 3RD FLOOR BOSTON, NY 10022 |
See Explanation of Responses | |||
VIEX Capital Advisors, LLC 745 BOYLSTON STREET 3RD FLOOR BOSTON, MA 02116 |
See Explanation of Responses |
ERIC SINGER, Name: /s/ Eric Singer | 12/12/2019 | |
**Signature of Reporting Person | Date | |
VIEX OPPORTUNITIES FUND, LP - SERIES ONE, By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member | 12/12/2019 | |
**Signature of Reporting Person | Date | |
VIEX OPPORTUNITIES FUND, LP - SERIES TWO, By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member | 12/12/2019 | |
**Signature of Reporting Person | Date | |
VIEX SPECIAL OPPORTUNITIES FUND III, LP, By: VIEX Special Opportunities GP III, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member | 12/12/2019 | |
**Signature of Reporting Person | Date | |
VIEX GP, LLC, Name: /s/ Eric Singer, Title: Managing Member | 12/12/2019 | |
**Signature of Reporting Person | Date | |
VIEX SPECIAL OPPORTUNITIES GP III, LLC, Name: /s/ Eric Singer, Title: Managing Member | 12/12/2019 | |
**Signature of Reporting Person | Date | |
VIEX CAPITAL ADVISORS, LLC, Name: /s/ Eric Singer, Title: Managing Member | 12/12/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Form 4 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities Fund, LP, Viex Special Opportunities Fund III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), Viex Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons"). |
(2) | As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
(3) | Each share is represented by a restricted stock unit, all of which are fully vested and each of which represents a contingent right to receive one share of common stock of the Issuer. |
(4) | Securities of the Issuer beneficially owned directly by Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series One. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series One. |
(5) | Securities of the Issuer beneficially owned directly by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series Two. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series Two. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series Two. |
(6) | Securities of the Issuer beneficially owned directly by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. VIEX Capital, as the investment manager of VSO III, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. Mr. Singer, as the managing member of each of VSO GP III and VIEX Capital, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. |