UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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Item 8.01. Other Events.
On March 29, 2022, Quantum Corporation (the “Company”) issued a press release announcing the commencement of its previously announced rights offering to holders of its common stock and certain outstanding warrants to purchase shares of its common stock outstanding as of March 25, 2022 (the “Rights Offering”). A copy of the press release is attached hereto as Exhibit 99.5 and incorporated by reference herein.
In connection with the Rights Offering, the Company is filing items included as Exhibits 4.1 and 99.1 through 99.4 to this Current Report on Form 8-K for the purpose of incorporating such items as exhibits to the Company’s Registration Statement on Form S-3 (File No. 333-250976), of which the prospectus supplement dated March 29, 2022 relating to the Rights Offering forms a part.
Item 9.01 Financial Statements and Exhibits.
| Exhibits Number |
Description | |
| 4.1 | Form of Rights Certificate. | |
| 99.1 | Form of Instructions as to Use of Rights Certificates. | |
| 99.2 | Form of Letter to Stockholders and Eligible Warrant Holders who are Record Holders. | |
| 99.3 | Form of Letter to Custodian Banks, Brokers, Dealers, and Other Nominees. | |
| 99.4 | Form of Notice to Clients of Custodian Banks, Brokers, Dealers, or Other Nominees. | |
| 99.5 | Press Release dated March 29, 2022. | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: March 29, 2022 | QUANTUM CORPORATION | |||||
| By: | /s/ Brian E. Cabrera | |||||
| Name: | Brian E. Cabrera | |||||
| Title: | Senior Vice President, Chief Legal and Compliance Officer, and Secretary | |||||