- ------ ------------------------------- FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL Washington, D.C. 20549 ------------------------------- - ------ OMB Number: 3235-0104 Expires: December 31, 2000 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Estimated average burden hours per response..........0.5 ------------------------------- (Print or Type Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Responses) Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Date of Event 4. Issuer Name Requiring and Ticker Nelson Barbara H. Statement: or Trading Symbol - ------------------------------------------ (Month/Day/Year) (Last) (First) (Middle) Quantum Corporation 6/1/2000 DSS, HDD - ------------------------------------------------------------------------------------------------------------------------------------ 3. I.R.S 5. Relationship of 6. If Amendment, Date of Identification Reporting Person(s) Original (Month/Day/Year) 649 Hillcrest Way Number of to Issuer - ------------------------------------------ Reporting (Check all applicable) ------------------------------------- (Street) Person, if an 7. Individual or entity (voluntary) --- Director --- 10% Owner Joint/Group Filing X Officer --- Other (Check Applicable Line) (give title (specify X Form filed by One Reporting Person below) below) --- Form filed by More than One President, DLT Tape Group Reporting Person Emerald Hills California 94062 ------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) - ------------------------------------------------------------------------------------------------------------------------------------ Table I - Non-Derivative Securities Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial (Instr. 4) Beneficially Owned Form: Direct Ownership (Instr. 5) (Instr. 4) (D) or Indirect (I) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock - DSS 4,773 D n/a - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock - HDD 2,386 D n/a - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (OVER) * If the form is filed by more than one reporting person, see Instruction 5(b)(v). Potential persons who are respond to the collection of information contained in this form are not required to respond unless SEC 1473 (7-97) the form displays a currently valid OMB control number.
FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount 4. Conver- 5. Owner- 6. Nature of (Instr. 4) cisable and of Securities sion or ship Indirect Expiration Underlying Derivative Exercise Form of Beneficial Date Security (Instr. 4) Price of Deriv- Ownership (Month/ Derivative ative (Instr. 5) Day/Year) Security Security: ---------------------------------------- Direct Date Expira- Amount (D) or Exer- tion Title or Indirect cisable Date Number of (I) Shares (Instr. 5) - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 18,096/18,096 $14.698311 D n/a Option D8421 over 4 years beginning 3/19/07 Stock 1/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 21,904/21,904 $14.698311 D n/a Option D8422 over 4 years beginning 3/19/07 Stock 1/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 1,668/1,668 $15.121284 D n/a Option D9238 over 4 years beginning 4/25/07 Stock 4/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 18,332/18,332 $15.121284 D n/a Option D9699 over 4 years beginning 4/25/07 Stock 4/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 3,162/3,162 $20.249831 D n/a Option D10326 over 4 years beginning 4/17/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 6,838/6,838 $20.249831 D n/a Option D10327 over 4 years beginning 4/17/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 3,415/3,415 $19.826858 D n/a Option D11946 over 4 years beginning 5/1/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 46,585/46,585 $19.826858 D n/a Option D11947 over 4 years beginning 5/1/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 1,667/1,667 $17.130405 D n/a Option D13337 over 4 years beginning 2/19/09 Stock 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 18,333/18,333 $17.130405 D n/a Option D14082 over 44 months 2/19/09 Stock beginning 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 3,486/3,486 $16.072973 D n/a Option D14180 over 4 years beginning 6/4/09 Stock 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 51,514/51,514 $16.072973 D n/a Option D15906 over 4 years beginning 6/4/09 Stock 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting DSS-Common 100,000/100,000 $8.687500 D n/a Option D17700 over 2 years beginning 1/11/10 Stock 1/1/00 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 9,048/9,048 $5.353378 D n/a Option H8421 over 4 years beginning 3/19/07 Stock 1/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 10,952/10,952 $5.353378 D n/a Option H8422 over 4 years beginning 3/19/07 Stock 1/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 834/834 $5.507432 D n/a Option H9238 over 4 years beginning 4/25/07 Stock 4/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 9,166/9,166 $5.507432 D n/a Option H9699 over 4 years beginning 4/25/07 Stock 4/1/97 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 1,581/1,581 $7.375338 D n/a Option H10326 over 4 years beginning 4/17/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 3,419/3,419 $7.375338 D n/a Option H10327 over 4 years beginning 4/17/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 1,708/1,708 $7.221284 D n/a Option H11946 over 4 years beginning 5/1/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 23,293/23,293 $7.221284 D n/a Option H11947 over 4 years beginning 5/1/08 Stock 4/1/98 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 834/834 $6.239189 D n/a Option H13337 over 4 years beginning 2/19/09 Stock 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 9,167/9,167 $6.239189 D n/a Option H14082 over 44 months 2/19/09 Stock beginning 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 1,743/1,743 $5.854054 D n/a Option H14180 over 4 years beginning 6/4/09 Stock 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 25,757/25,757 $5.854054 D n/a Option H15906 over 4 years beginning 6/4/09 Stock 4/1/99 - ------------------------------------------------------------------------------------------------------------------------------------ Equal monthly vesting HDD-Common 50,000/50,000 $8.000000 D n/a Option H17725 over 2 years beginning 1/11/10 Stock 1/1/00 - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: "Amount or Number of Shares" displays options outstanding against original grant. -------------------------------- -------------- ** Intentional misstatements or omissions of facts constitute Federal Criminal **Signature of Reporting Person Date Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained Page 2 in this form are not required to respond unless the form displays a currently SEC 1473 (7-97) valid OMB Number.