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