UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
_______________
FORM
8-K
_______________
CURRENT
REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of
1934
Date of Report (Date of
earliest event reported): October 2, 2015
_______________
Quantum Corporation
(Exact name of Registrant
as Specified in its Charter)
| Delaware | 1-13449 | 94-2665054 |
| (State or Other Jurisdiction | (Commission File | (I.R.S. Employer |
| of Incorporation) | Number) | Identification No.) |
| 224 Airport Parkway | ||
| San Jose, CA 95110 | ||
| (Address of Principal Executive Offices) | ||
| (408) 944-4000 | ||
| (Registrant’s telephone number,
including area code) _______________ |
||
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (See General Instructions A.2 below):
| ☐ | Written communications pursuant to
Rule 425 under the Securities Act (17 CFR 230.425) | |
| ☐ | Soliciting material pursuant to
Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | |
| ☐ | Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b)) | |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 20.13e-4(c)) |
Item 8.01. Other Events
On October 2, 2015, Quantum Corporation (“Quantum” or the “Company”) was notified by the New York Stock Exchange ("NYSE") that it was not in compliance with the NYSE’s continued listing standard requiring that stocks trade at a minimum average closing price of $1 for 30 consecutive trading days. Under NYSE rules, Quantum has six months from receipt of the notification on Oct. 2, 2015, to comply with the listing standard. The Company’s stock will continue to be listed on the NYSE during this six-month period, subject to compliance with other NYSE continued listing requirements. A copy of Quantum's press release is attached as Exhibit 99.1 hereto and incorporated by reference.
This information shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange Act), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
| Exhibit No. | Exhibit Description | |
| 99.1 | Press Release, dated October 6, 2015 |
2
SIGNATURES
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, thereunto duly authorized.
| Date: October 6, 2015 | Quantum Corporation | ||
| By: | /s/ Shawn D. Hall | ||
| Name: | Shawn D. Hall | ||
| Its: | Senior Vice President, General Counsel and Secretary | ||
Exhibit Index
| Exhibit No. | Exhibit Description | |
| 99.1 | Press Release, dated October 6, 2015 |