0000921895-19-002984.txt : 20191212 0000921895-19-002984.hdr.sgml : 20191212 20191212200430 ACCESSION NUMBER: 0000921895-19-002984 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191210 FILED AS OF DATE: 20191212 DATE AS OF CHANGE: 20191212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Singer Eric CENTRAL INDEX KEY: 0001443284 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191283056 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 Opportunities Fund, LP Series One CENTRAL INDEX KEY: 0001606750 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191283057 BUSINESS ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 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: VIEX Opportunities Fund, LP - Series Two CENTRAL INDEX KEY: 0001659404 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191283058 BUSINESS ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: VIEX Opportunities Fund, LP Series Two DATE OF NAME CHANGE: 20151228 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 Special Opportunities Fund III, LP CENTRAL INDEX KEY: 0001619126 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191283059 BUSINESS ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: C/O VIEX CAPITAL ADVISORS, LLC STREET 2: 825 THIRD AVENUE, 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 GP, LLC CENTRAL INDEX KEY: 0001654852 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191283060 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191283061 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 Capital Advisors, LLC CENTRAL INDEX KEY: 0001619125 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 191283062 BUSINESS ADDRESS: STREET 1: 745 BOYLSTON STREET STREET 2: 3RD FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 212-752-5750 MAIL ADDRESS: STREET 1: 745 BOYLSTON STREET STREET 2: 3RD FLOOR CITY: BOSTON STATE: MA ZIP: 02116 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 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 form410114016_12122019.xml OWNERSHIP DOCUMENT X0306 4 2019-12-10 1 0000709283 QUANTUM CORP /DE/ QMCO 0001443284 Singer Eric 745 BOYLSTON STREET 3RD FLOOR BOSTON MA 02116 0 0 1 1 See Explanation of Responses 0001606750 VIEX Opportunities Fund, LP Series One 745 BOYLSTON STREET 3RD FLOOR BOSTON MA 02116 0 0 0 1 See Explanation of Responses 0001659404 VIEX Opportunities Fund, LP - Series Two 745 BOYLSTON STREET 3RD FLOOR BOSTON MA 02116 0 0 0 1 See Explanation of Responses 0001619126 VIEX Special Opportunities Fund III, LP 745 BOYLSTON STREET 3RD FLOOR BOSTON NY 10022 0 0 0 1 See Explanation of Responses 0001654852 VIEX GP, LLC 745 BOYLSTON STREET 3RD FLOOR BOSTON NY 10022 0 0 0 1 See Explanation of Responses 0001676049 VIEX Special Opportunities GP III, LLC 745 BOYLSTON STREET 3RD FLOOR BOSTON NY 10022 0 0 0 1 See Explanation of Responses 0001619125 VIEX Capital Advisors, LLC 745 BOYLSTON STREET 3RD FLOOR BOSTON MA 02116 0 0 0 1 See Explanation of Responses Common Stock, par value $0.001 66681 D Common Stock, par value $0.001 2019-12-10 4 S 0 90304 5.7750 D 835679 I By Viex Opportunities Fund, LP - Series One Common Stock, par value $0.001 2019-12-10 4 S 0 17227 5.7750 D 159421 I By Viex Opportunities Fund, LP - Series Two Common Stock, par value $0.001 2019-12-10 4 S 0 252469 5.7750 D 2336364 I By Viex Special Opportunities Fund III, LP This Form 4 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities Fund, LP, 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"). As of the close of business on December 10, 2019, the Reporting Persons ceased to be holders of an aggregate of 10% or more of Quantum Corporation's (the "Issuer") outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the securities of the Issuer 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 securities for purposes of Section 16 or for any other purpose. Each share is represented by a restricted stock unit, all of which are fully vested and each of which represents a contingent right to receive one share of common stock of the Issuer. Securities of the Issuer beneficially owned directly by Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the securities of the Issuer 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 securities of the Issuer beneficially owned by Series One. Securities of the Issuer beneficially owned directly by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by Series Two. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the securities of the Issuer 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 securities of the Issuer beneficially owned by Series Two. Securities of the Issuer beneficially owned directly by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the securities of the Issuer beneficially owned by VSO III. VIEX Capital, as the investment manager of VSO III, may be deemed the beneficial owner of the securities of the Issuer 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 securities of the Issuer beneficially owned by VSO III. ERIC SINGER, Name: /s/ Eric Singer 2019-12-12 VIEX OPPORTUNITIES FUND, LP - SERIES ONE, By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member 2019-12-12 VIEX OPPORTUNITIES FUND, LP - SERIES TWO, By: VIEX GP, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member 2019-12-12 VIEX SPECIAL OPPORTUNITIES FUND III, LP, By: VIEX Special Opportunities GP III, LLC, its General Partner, Name: /s/ Eric Singer, Title: Managing Member 2019-12-12 VIEX GP, LLC, Name: /s/ Eric Singer, Title: Managing Member 2019-12-12 VIEX SPECIAL OPPORTUNITIES GP III, LLC, Name: /s/ Eric Singer, Title: Managing Member 2019-12-12 VIEX CAPITAL ADVISORS, LLC, Name: /s/ Eric Singer, Title: Managing Member 2019-12-12