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Filing Details

Accession Number:: 0001615774-18-015169
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-12-28 19:05:27
Reporting Period:: 2018-12-27

Accepted Time:: 2018-12-28 19:05:27
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
709283	Quantum Corp	QTM	Computer Storage Devices (3572)	942665054

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
852412	B. Riley Fbr, Inc.	11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025	No	No	Yes	No
1325552	Dialectic Antithesis Partners, Lp	119 Rowayton Avenue, 2Nd Floor Norwalk, CT 06853	No	No	Yes	No
1464790	B. Riley Financial, Inc.	21255 Burbank Boulevard, Suite 400 Woodland Hills, CA 91367	No	No	Yes	No
1642765	Brc Partners Opportunity Fund, Lp	11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025	No	No	Yes	No
1658704	B. Riley Capital Management, Llc	11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025	No	No	Yes	No
1704985	Br Dialectic Capital Management, Llc	119 Rowayton Avenue, 2Nd Floor Norwalk, CT 06853	No	No	Yes	No
1749420	Brc Partners Management Gp, Llc	11100 Santa Monica Blvd., Suite 800 Los Angeles, CA 90025	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-12-27	38,092	$1.49	938,092	No	4	P	Indirect	See notes
Common Stock	Acquisiton	2018-12-27	253,801	$1.25	1,493,801	No	4	P	Indirect	See notes
Common Stock	Acquisiton	2018-12-27	100,000	$1.20	1,537,696	No	4	P	Indirect	See notes
Common Stock	Acquisiton	2018-12-28	125,000	$1.91	1,662,696	No	4	P	Indirect	See notes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes

Footnotes

In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").
BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock"), of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.
Represents shares of Common Stock owned directly by Dialectic.
Represents shares of Common Stock owned directly by BRPLP.
Represents shares of Common Stock owned directly by BRFBR.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.875 to $1.92, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.