QMCO

SEC source: 0000709283-21-000048 · wf-form4a_162921685038853.xml · nonDerivative · entry 1

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,740

SEC source: 0000709283-21-000047 · wf-form4_162915845633735.xml · nonDerivative · entry 2

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,740

F2 · price: 2.The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.72 to $5.73, inclusive. The reporting person undertakes to provide to Quantum Corporation, any security holder of Quantum Corporation or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0000709283-21-000047 · wf-form4_162915845633735.xml · nonDerivative · entry 1

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,740

F1 · price: 1.The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.605 to $5.720, inclusive. The reporting person undertakes to provide to Quantum Corporation, any security holder of Quantum Corporation or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0000709283-21-000037 · wf-form4_162698192709428.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,545,233

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units and performance-based stock units granted on July 1, 2018.

SEC source: 0000709283-21-000035 · wf-form4_162646291750227.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,677,358

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units and performance-based stock units granted on July 1, 2020.

SEC source: 0000709283-21-000034 · wf-form4_162577222648501.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 780,032

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units and performance-based stock units granted on July 1, 2020.

SEC source: 0000709283-21-000032 · wf-form4_162577219361554.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,310

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units and performance-based stock units granted on July 1, 2020.

SEC source: 0000709283-21-000033 · wf-form4_162577221098114.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,114

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units and performance-based stock units granted on July 1, 2020.

SEC source: 0000709283-21-000030 · wf-form4_162368880360339.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,330

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on April 1, 2019.

SEC source: 0000709283-21-000029 · wf-form4_162368878620798.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 815,321

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units granted on June 1, 2018.

SEC source: 0000709283-21-000027 · wf-form4_162309209708339.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 834,151

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on June 1, 2018.

SEC source: 0000709283-21-000028 · wf-form4_162309211542749.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,780

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on November 1, 2018.

SEC source: 0000709283-21-000021 · wf-form4_162142891649035.xml · derivative · entry 4

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 37,500 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 37,500 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000021 · wf-form4_162142891649035.xml · derivative · entry 3

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2029-09-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000021 · wf-form4_162142891649035.xml · nonDerivative · entry 2

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 853,870

F3 · security: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, acquired with vesting subject to the achievement of specified performance-based conditions, occurred on May 11, 2021 as certified by the leadership and compensation committee of QMCO, resulting in 75,000 units for the Free Cash Flow results based on the Company's performance as of March 31, 2021 (end of the QMCO's Fiscal 2021 Year). 100% of PSUs are earned as 100% of the free cash flow target performance goal is achieved. However, these shares remain subject to time-based vesting conditions and will therefore vest in equal installments with 1/3rd July 1, 2021, 1/3rd July 1, 2022 and 1/3rd July 1, 2023, subject to continued employment.

SEC source: 0000709283-21-000021 · wf-form4_162142891649035.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 778,870

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 37,500 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · derivative · entry 4

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · derivative · entry 3

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2029-09-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · nonDerivative · entry 2

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,742,918

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F3 · security: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, acquired with vesting subject to the achievement of specified performance-based conditions, occurred on May 11, 2021 as certified by the leadership and compensation committee of QMCO, resulting in 120,000 units for the Free Cash Flow results based on the Company's performance as of March 31, 2021 (end of QMCO's Fiscal 2021 Year). 100% of PSUs are earned as 100% of the free cash flow target performance goal is achieved. However, these shares remain subject to time-based vesting conditions and will therefore vest in equal installments with 1/3rd July 1, 2021, 1/3rd July 1, 2022 and 1/3rd July 1, 2023, subject to continued employment.

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,622,918

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000019 · wf-form4_162142888546381.xml · derivative · entry 3

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,875 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000019 · wf-form4_162142888546381.xml · nonDerivative · entry 2

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,208

F2 · security: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, acquired with vesting subject to the achievement of specified performance-based conditions, occurred on May 11, 2021 as certified by the leadership and compensation committee of QMCO, resulting in 13,750 units for the Free Cash Flow results based on the Company's performance as of March 31, 2021 (end of the QMCO's Fiscal 2021 Year). 100% of PSUs are earned as 100% of the free cash flow target performance goal is achieved. However, these shares remain subject to time-based vesting conditions and will therefore vest in equal installments with 1/3rd July 1, 2021, 1/3rd July 1, 2022 and 1/3rd July 1, 2023, subject to continued employment.

SEC source: 0000709283-21-000019 · wf-form4_162142888546381.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,458

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000018 · wf-form4_162142886791967.xml · derivative · entry 4

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,875 shares

Expires 2025-07-01

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000018 · wf-form4_162142886791967.xml · derivative · entry 3

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,000 shares

Expires 2029-09-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 16,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 16,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000018 · wf-form4_162142886791967.xml · nonDerivative · entry 2

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,857

F3 · security: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, acquired with vesting subject to the achievement of specified performance-based conditions, occurred on May 11, 2021 as certified by the leadership and compensation committee of QMCO, resulting in 13,750 units for the Free Cash Flow results based on the Company's performance as of March 31, 2021 (end of the QMCO's Fiscal 2021 Year). 100% of PSUs are earned as 100% of the free cash flow target performance goal is achieved. However, these shares remain subject to time-based vesting conditions and will therefore vest in equal installments with 1/3rd July 1, 2021, 1/3rd July 1, 2022 and 1/3rd July 1, 2023, subject to continued employment.

SEC source: 0000709283-21-000018 · wf-form4_162142886791967.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,107

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 16,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain subject to these performance-based and time-based vesting conditions.

SEC source: 0001213900-21-023274 · ownership.xml · nonDerivative · entry 2

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley Securities, Inc. · CIK 0001505748 · 10% owner

RILEY BRYANT R · CIK 0001207269 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By BRC Partners Opportunity Fund, L.P.

Disclosed balance after: 2,248,511

F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS.

F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, and BRPLP. Each of BRF, BRS, BRPGP, BRCM, and BRPLP (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.

SEC source: 0001213900-21-023274 · ownership.xml · nonDerivative · entry 1

B. Riley Financial, Inc. · CIK 0001464790 · 10% owner

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · 10% owner

BRC Partners Management GP, LLC · CIK 0001749420 · 10% owner

BRC Partners Opportunity Fund, LP · CIK 0001642765 · 10% owner

B. Riley Securities, Inc. · CIK 0001505748 · 10% owner

RILEY BRYANT R · CIK 0001207269 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By B. Riley Securities, Inc.

Disclosed balance after: 5,359,100

F1 · ownership.nature: This Form 4 is being filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), B. Riley Securities, Inc., a Delaware corporation ("BRS"), BRC Partners Opportunity Fund, LP, a Delaware limited partnership ("BRPLP"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), B. Riley Capital Management, LLC, a New York limited liability company, a registered investment advisor ("BRCM"), and Bryant R. Riley. BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the shares held by BRPLP. BRF is the parent company of BRS. As a result, BRF may be deemed to indirectly beneficially own the shares held by BRS.

F2 · ownership.nature: Bryant R. Riley is the Co-Chief Executive Officer and Chairman of the Board of Directors of BRF. As a result, Bryant R. Riley may be deemed to indirectly beneficially own the shares of Common Stock directly held by BRF, BRS, and BRPLP. Each of BRF, BRS, BRPGP, BRCM, and BRPLP (collectively, the "B. Riley Entities") and Bryant R. Riley disclaims beneficial ownership of the outstanding shares of Common Stock reported herein, except to the extent of its/his respective pecuniary interest therein.

SEC source: 0000709283-21-000012 · wf-form4_161849402533579.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,583

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units granted on April 1, 2019.

SEC source: 0000709283-21-000009 · wf-form4_161584270139032.xml · derivative · entry 3

MacPherson Regan J · CIK 0001651155 · Chief Legal&Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,875

Underlying: Common Stock · 6,875 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000009 · wf-form4_161584270139032.xml · derivative · entry 2

MacPherson Regan J · CIK 0001651155 · Chief Legal&Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-11-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on February 4, 2020, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 20,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on November 1, 2021, subject to continued employment. These shares are reflected on Table I, and 20,000 units remaining subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on February 4, 2020, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 20,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on November 1, 2021, subject to continued employment. These shares are reflected on Table I, and 20,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000009 · wf-form4_161584270139032.xml · nonDerivative · entry 1

MacPherson Regan J · CIK 0001651155 · Chief Legal&Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,089

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on February 4, 2020, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 20,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on November 1, 2021, subject to continued employment. These shares are reflected on Table I, and 20,000 units remaining subject to these performance-based and time-based vesting conditions.

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

F3 · balance_after: Includes 383 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 5, 2021.

SEC source: 0000709283-21-000008 · wf-form4_161584267238458.xml · derivative · entry 3

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,875

Underlying: Common Stock · 6,875 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000008 · wf-form4_161584267238458.xml · derivative · entry 2

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2029-09-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 16,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 16,000 units remaining subject to these performance-based and time-based vesting conditions

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 16,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 16,000 units remaining subject to these performance-based and time-based vesting conditions

SEC source: 0000709283-21-000008 · wf-form4_161584267238458.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,232

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 16,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 16,000 units remaining subject to these performance-based and time-based vesting conditions

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

F3 · balance_after: Includes 707 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 5, 2021.

SEC source: 0000709283-21-000007 · wf-form4_161584263658780.xml · derivative · entry 3

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 37,500 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 37,500 units remaining subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 37,500 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 37,500 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000007 · wf-form4_161584263658780.xml · derivative · entry 2

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2029-09-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000007 · wf-form4_161584263658780.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 661,370

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 37,500 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 37,500 units remaining subject to these performance-based and time-based vesting conditions.

F3 · balance_after: Includes 4,715 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 5, 2021.

SEC source: 0000709283-21-000006 · wf-form4_161584260271901.xml · derivative · entry 3

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000006 · wf-form4_161584260271901.xml · derivative · entry 2

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2029-09-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000006 · wf-form4_161584260271901.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,462,918

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F3 · balance_after: Includes 2,711 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 5, 2021.

SEC source: 0000709283-21-000011 · wf-form4_161601161020656.xml · derivative · entry 2

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,875

Underlying: Common Stock · 6,875 shares

Expires 2025-07-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000011 · wf-form4_161601161020656.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,008

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 6,875 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 6,875 units remaining subject to these performance-based and time-based vesting conditions.

F2 · balance_after: Includes 5,977 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 5, 2021.

SEC source: 0000709283-20-000047 · wf-form4_160937574208830.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · Senior Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,155

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on September 6, 2019.

F2 · price: This is the price of the shares sold, $5.6326 per share. Upon request by the Commission staff, Quantum Corporation, or a security holder of Quantum Corporation, the Reporting Person will provide full information regarding the number of shares sold at this price as set forth in this Form 4.

SEC source: 0000709283-20-000046 · wf-form4_160937572590854.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300,207

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on September 6, 2019.

F2 · price: This is the price of the shares sold, $5.6326 per share. Upon request by the Commission staff, Quantum Corporation, or a security holder of Quantum Corporation, the Reporting Person will provide full information regarding the number of shares sold at this price as set forth in this Form 4.

SEC source: 0000709283-20-000045 · wf-form4_160876972350546.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,650

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on September 6, 2019 and restricted stock units granted on November 1, 2018 and September 6, 2019.

F2 · price: This is the price of the shares sold, $6.3657 per share. Upon request by the Commission staff, Quantum Corporation, or a security holder of the Quantum Corporation, the Reporting Person will provide full information regarding the number of shares sold at this price as set forth in this Form 4.

SEC source: 0000709283-20-000044 · wf-form4_160876970523307.xml · nonDerivative · entry 1

MacPherson Regan J · CIK 0001651155 · Chief Legal&Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,831

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on November 1, 2019 and restricted stock units granted on November 1, 2019.

F2 · price: This is the price of the shares sold, $6.3657 per share. Upon request by the Commission staff, Quantum Corporation, or a security holder of the Quantum Corporation, the Reporting Person will provide full information regarding the number of shares sold at this price as set forth in this Form 4.

F3 · balance_after: Includes 323 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on August 5, 2020.

SEC source: 0000709283-20-000043 · wf-form4_160832588064772.xml · nonDerivative · entry 2

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Lightcurve Capital LLC

Disclosed balance after: 20,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.23 to $6.28, inclusive.

SEC source: 0000709283-20-000043 · wf-form4_160832588064772.xml · nonDerivative · entry 1

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Lightcurve Capital LLC

Disclosed balance after: 18,800

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.0889 to $6.289, inclusive. The reporting person undertakes to provide to Quantum Corporation, any security holder of Quantum Corporation or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.