0000899243-19-023127.txt : 20190909 0000899243-19-023127.hdr.sgml : 20190909 20190909163559 ACCESSION NUMBER: 0000899243-19-023127 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190905 FILED AS OF DATE: 20190909 DATE AS OF CHANGE: 20190909 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FICHTHORN JOHN CENTRAL INDEX KEY: 0001411509 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191083409 MAIL ADDRESS: STREET 1: C/O DIALECTIC CAPITAL MANAGEMENT, LLC STREET 2: 17 STATE STREET, SUITE 3930 CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: QUANTUM CORP /DE/ CENTRAL INDEX KEY: 0000709283 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 942665054 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 224 AIRPORT PARKWAY STREET 2: SUITE 550 CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 408 944 4000 MAIL ADDRESS: STREET 1: 224 AIRPORT PARKWAY STREET 2: SUITE 550 CITY: SAN JOSE STATE: CA ZIP: 95110 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-09-05 0 0000709283 QUANTUM CORP /DE/ QMCO 0001411509 FICHTHORN JOHN C/O QUANTUM CORPORATION 224 AIRPORT PARKWAY, SUITE 550 SAN JOSE CA 95110 1 0 0 0 Common Stock 2019-09-05 4 A 0 14184 0.00 A 80411 D Common Stock 2019-09-05 4 A 0 20833 0.00 A 101244 D Common Stock 1493801 I Held by BRC Partners Opportunity Fund, LP Common Stock 969900 I Held by Dialectic Antithesis Partners, LP Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs will fully vest on the date of the Quantum 2019 Annual Meeting. These RSUs were granted in connection with the Reporting Person joining the Quantum Board on April 4, 2019. Grant of RSUs, each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs vest upon the earlier of the Quantum's 2020 Annual Meeting or September 5, 2020. These RSUs were approved in connection with the reinstatement of Quantum's normal equity compensation program for non-employee directors. BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. B. Riley Capital Management, LLC is the investment manager of BRC Partners Opportunity Fund, LP and, as such, shares voting and dispositive power over the securities held by BRC Partners Opportunity Fund, LP. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC are wholly owned subsidiaries of B. Riley Financial, Inc., a publicly traded Delaware corporation (Nasdaq: RILY). /s/ Noah Mesel, Attorney-in-Fact 2019-09-09