Filing Details
- Accession Number:
- 0001181431-11-039874
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-07-05 18:07:41
- Reporting Period:
- 2011-07-01
- Filing Date:
- 2011-07-05
- Accepted Time:
- 2011-07-05 18:07:41
- 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 | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1261887 | D Shawn Hall | C/O Quantum Corporation 1650 Technology Drive, Suite 800 San Jose CA 95110 | Senior Vp, Gc & Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-07-01 | 100,000 | $0.98 | 261,526 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-07-01 | 100,000 | $3.28 | 161,526 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-07-01 | 82,029 | $3.30 | 79,497 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-07-01 | 110,000 | $0.00 | 189,497 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2011-07-01 | 8,559 | $3.37 | 180,938 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Options | Disposition | 2011-07-01 | 100,000 | $0.00 | 100,000 | $0.98 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 50,000 | 2010-07-01 | 2016-07-01 | No | 4 | M | Direct |
Footnotes
- Reflects the exercise of the stock options listed in Table II of this Form 4.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 3, 2010.
- Surrender of shares to satisfy tax withholding obligations upon vesting of restricted stock units granted on 7/1/2010.
- The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $3.25 to $3.32 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.
- The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $3.26 to $3.33 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.
- The options are fully vested and immediately exercisable.
- RSUs will vest in equal installments on 07/01/2012, 07/01/2013 and on 07/01/2014.
Billionaire Hedge Funds
