13D Filing: Private Capital Management and Quantum Corp (QTM)

Page 5 of 8 Pages

(h)

Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;

(i)

A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or

(j)

Any action similar to any of those enumerated above.

As reflected in the Form 8-K filed by the Issuer on August 14, 2017, Mr. Powers resigned as a Director from the Issuer’s Board of Directors effective August 9, 2017.

None of the sales of Common Stock reflected in this amendment resulted from the exercise of investment discretion on the part of a Reporting Person or affected shares of Common Stock with respect to which a Reporting Person may be deemed to hold a pecuniary interest. Instead, the sales of Common Stock reflected herein resulted from client directed transactions or withdrawals. The Reporting Persons have previously disclaimed beneficial ownership with respect to all shares of Common Stock included in those sales.

Item 5. Interest in Securities of the Issuer.

(a & b) The information contained in the cover pages of the Reporting Persons filed herewith is incorporated herein.

(c) The Reporting Persons acquired all of the shares of the Issuer pursuant to the purchase of Common Stock. All purchases and sales in the last 60 days are attached to this schedule. All purchases of Common Stock by the Reporting Persons within the last 60 days have been for PCM Clients. Neither Reporting Person holds any pecuniary interest in any shares of the purchased Common Stock.

(d) Not applicable.

(e) Not applicable.

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.

Not applicable.

Item 7. Material to be Filed as Exhibits.

Not applicable.

13D Filing: Private Capital Management and Quantum Corp (QTM)

Published on November 10, 2017 at 11:18 am by Insider Monkey Staff in Hedge Funds

Page 5 of 8 – SEC Filing

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