0000921895-16-004791.txt : 20160602
0000921895-16-004791.hdr.sgml : 20160602
20160602090127
ACCESSION NUMBER: 0000921895-16-004791
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160531
FILED AS OF DATE: 20160602
DATE AS OF CHANGE: 20160602
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX GP, LLC
CENTRAL INDEX KEY: 0001654852
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13449
FILM NUMBER: 161691229
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVE.
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVE.
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: Vertex GP, LLC
DATE OF NAME CHANGE: 20151005
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX Special Opportunities GP III, LLC
CENTRAL INDEX KEY: 0001676049
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13449
FILM NUMBER: 161691230
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 451-2282
MAIL ADDRESS:
STREET 1: 825 THIRD AVE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX Special Opportunities Fund III, LP
CENTRAL INDEX KEY: 0001619126
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13449
FILM NUMBER: 161691231
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: Vertex Special Opportunities Fund III, LP
DATE OF NAME CHANGE: 20140910
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX Opportunities Fund, LP Series Two
CENTRAL INDEX KEY: 0001659404
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13449
FILM NUMBER: 161691232
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: Vertex Opportunities Fund, LP Series Two
DATE OF NAME CHANGE: 20151125
FORMER NAME:
FORMER CONFORMED NAME: Vertex Opportuniteis Fund, LP Series Two
DATE OF NAME CHANGE: 20151125
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX Opportunities Fund, LP Series One
CENTRAL INDEX KEY: 0001606750
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13449
FILM NUMBER: 161691233
BUSINESS ADDRESS:
STREET 1: C/O VERTEX CAPITAL ADVISORS, LLC
STREET 2: 826 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: C/O VERTEX CAPITAL ADVISORS, LLC
STREET 2: 826 THIRD AVENUE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: VIEX Opportunities Fund, LP
DATE OF NAME CHANGE: 20151228
FORMER NAME:
FORMER CONFORMED NAME: Vertex Opportunities Fund, LP
DATE OF NAME CHANGE: 20140429
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Singer Eric
CENTRAL INDEX KEY: 0001443284
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13449
FILM NUMBER: 161691234
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIEX Capital Advisors, LLC
CENTRAL INDEX KEY: 0001619125
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13449
FILM NUMBER: 161691228
BUSINESS ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-752-5750
MAIL ADDRESS:
STREET 1: 825 THIRD AVENUE
STREET 2: 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: Vertex Capital Advisors, LLC
DATE OF NAME CHANGE: 20140910
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 300
CITY: SAN JOSE
STATE: CA
ZIP: 95110
BUSINESS PHONE: 408 944 4000
MAIL ADDRESS:
STREET 1: 224 AIRPORT PARKWAY
STREET 2: SUITE 300
CITY: SAN JOSE
STATE: CA
ZIP: 95110
3
1
form310114016_06022016.xml
OWNERSHIP DOCUMENT
X0206
3
2016-05-31
0
0000709283
QUANTUM CORP /DE/
QTM
0001443284
Singer Eric
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001606750
VIEX Opportunities Fund, LP Series One
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001659404
VIEX Opportunities Fund, LP Series Two
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001619126
VIEX Special Opportunities Fund III, LP
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001676049
VIEX Special Opportunities GP III, LLC
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001654852
VIEX GP, LLC
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
0001619125
VIEX Capital Advisors, LLC
825 THIRD AVENUE
33RD FLOOR
NEW YORK
NY
10022
0
0
1
0
Common Stock, $0.01 par value
7407865
I
By: VIEX Opportunities Fund, LP - Series One
Common Stock, $0.01 par value
1413191
I
By: VIEX Opportunities Fund, LP - Series Two
Common Stock, $0.01 par value
20710666
I
By: VIEX Special Opportunities Fund III, LP
This Form 3 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP ("VIEX Opportunities"), a series limited partnership, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities, VIEX Special Opportunities Fund III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), VIEX Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons").
The Reporting Persons are filing this report because each of the Reporting Persons is a member of a Section 13(d) group, disclosed in a Schedule 13D filed on behalf of the Reporting Persons, as it may be amended, which beneficially owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
Shares of Common Stock beneficially owned directly by Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One.
Shares of Common Stock beneficially owned directly by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two.
Shares of Common Stock beneficially owned directly by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO III. VIEX Capital, as the investment manager of VSO III, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO III. Mr. Singer, as the managing member of each of VSO GP III and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO III.
By: /s/ Eric Singer
2016-06-02
VIEX Opportunities Fund, LP - Series One; By: VIEX GP, LLC; its general partner; By: /s/ Eric Singer, Managing Member
2016-06-02
VIEX Opportunities Fund, LP - Series Two; By: VIEX GP, LLC; its general partner; By: /s/ Eric Singer, Managing Member
2016-06-02
VIEX Special Opportunities Fund III, LP; By: VIEX Special Opportunities GP III, LLC; its general partner; By: /s/ Eric Singer, Managing Member
2016-06-02
VIEX Special Opportunities GP III, LLC; By /s/ Eric Singer, Managing Member
2016-06-02
VIEX GP, LLC; By: /s/ Eric Singer, Managing Member
2016-06-02
VIEX Capital Advisors, LLC; By /s/ Eric Singer, Managing Member
2016-06-02