QMCO

SEC source: 0000709283-20-000033 · wf-form4_159968195621698.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: 1,335,276

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 July 1, 2018.

SEC source: 0000709283-20-000032 · wf-form4_159917102032858.xml · nonDerivative · entry 1

Jacoby Rebecca · CIK 0001623506 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,266

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO (the "Company"). The RSUs vest in full on the earlier of September 1, 2021 or the date of the Company's next annual stockholder meeting, subject to continued service on the Company's Board of Directors.

SEC source: 0000709283-20-000030 · wf-form4_159917097144678.xml · nonDerivative · entry 1

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,740

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO (the "Company"). The RSUs vest in full on the earlier of September 1, 2021 or the date of the Company's next annual stockholder meeting, subject to continued service on the Company's Board of Directors.

SEC source: 0000709283-20-000031 · wf-form4_159917099280822.xml · nonDerivative · entry 1

RAU RAGHAVENDRA · CIK 0001492898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,514

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO (the "Company"). The RSUs vest in full on the earlier of September 1, 2021 or the date of the Company's next annual stockholder meeting, subject to continued service on the Company's Board of Directors.

SEC source: 0000709283-20-000029 · wf-form4_159917095347456.xml · nonDerivative · entry 1

Rothman Marc E · CIK 0001402025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,977

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO (the "Company"). The RSUs vest in full on the earlier of September 1, 2021 or the date of the Company's next annual stockholder meeting, subject to continued service on the Company's Board of Directors.

SEC source: 0000709283-20-000028 · wf-form4_159906925670784.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 573,154

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: 0000709283-20-000027 · wf-form4_159906923839352.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: 1,403,110

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 July 1, 2018.

F2 · balance_after: Includes 1,918 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on August 5, 2020.

SEC source: 0000709283-20-000026 · wf-form4_159847340659837.xml · nonDerivative · entry 1

Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,407

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 July 1, 2017.

F2 · price: This is the weighted average price of the shares sold, which ranged from $5.3798 to $5.53 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 each separate price within the range set forth in this Form 4.

SEC source: 0000709283-20-000025 · wf-form4_159847337387936.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,962

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.

F2 · price: This is the weighted average price of the shares sold, which ranged from $5.3798 to $5.5240 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 each separate price within the range set forth in this Form 4.

F3 · balance_after: Includes 596 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on August 5, 2020.

SEC source: 0000709283-20-000024 · wf-form4_159847335113318.xml · nonDerivative · entry 2

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,156

F4 · 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.

F5 · price: This is the weighted average price of the shares sold, which ranged from $5.3798 to $5.5230 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 each separate price within the range set forth in this Form 4.

SEC source: 0000709283-20-000024 · wf-form4_159847335113318.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,438

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.

F2 · price: This is the weighted average price of the shares sold, which ranged from $5.3798 to $5.5322 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 each separate price within the range set forth in this Form 4.

F3 · balance_after: Includes 4,220 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on August 5, 2020.

SEC source: 0000709283-20-000023 · wf-form4_159847333162546.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 586,286

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.

F2 · price: This is the weighted average price of the shares sold, which ranged from $5.3798 to $5.52 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 each separate price within the range set forth in this Form 4.

F3 · balance_after: Includes 3,975 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on August 5, 2020.

SEC source: 0000709283-20-000018 · wf-form4_159372182578185.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2025-07-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000018 · wf-form4_159372182578185.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,577

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on July 1, 2021, July 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000017 · wf-form4_159372175178889.xml · derivative · entry 2

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,750 shares

Expires 2025-07-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000017 · wf-form4_159372175178889.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,500

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on July 1, 2021, July 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000015 · wf-form4_159372159886193.xml · derivative · entry 2

Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,250 shares

Expires 2025-07-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000015 · wf-form4_159372159886193.xml · nonDerivative · entry 1

Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,338

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on July 1, 2021, July 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000016 · wf-form4_159372168304769.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: 0

Underlying: Common Stock · 160,000 shares

Expires 2025-07-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000016 · wf-form4_159372168304769.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: 1,440,000

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on July 1, 2021, July 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000014 · wf-form4_159372154070823.xml · derivative · entry 2

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,750 shares

Expires 2025-07-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000014 · wf-form4_159372154070823.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,831

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on July 1, 2021, July 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000013 · wf-form4_159372149943537.xml · derivative · entry 2

MacPherson Regan J · CIK 0001651155 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,750 shares

Expires 2025-07-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2020 and July 1, 2025. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in two equal installments on January 1, 2022 and July 1, 2023.

SEC source: 0000709283-20-000013 · wf-form4_159372149943537.xml · nonDerivative · entry 1

MacPherson Regan J · CIK 0001651155 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on July 1, 2021, July 1, 2022 and July 1, 2023.

SEC source: 0001213900-20-010318 · ownership.xml · nonDerivative · entry 1

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

BRC Partners Opportunity Fund, LP · CIK 0001642765 · See Footnote 1

BRC Partners Management GP, LLC · CIK 0001749420 · See Footnote 1

B. RILEY CAPITAL MANAGEMENT, LLC · CIK 0001658704 · See Footnote 1

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

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 5,989,100

F1 · security: This Form 4 is filed jointly by B. Riley Financial, Inc., a Delaware corporation ("BRF"), BRC Partners Opportunity Fund, L.P., 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 ("BRCM"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR") (collectively, the "Filing Persons"). Each of the Filing Persons may be deemed to be a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock ("Common Stock"). Each of the Filing Persons disclaims beneficial ownership of the shares of Common Stock of the Issuer reported herein except to the extent of its pecuniary interest therein.

F2 · security: BRPGP is a subsidiary of BRCM, a registered investment advisor, and is the general partner of BRPLP. BRF is the parent company of BRCM and BRFBR.

F3 · ownership.nature: By virtue of the relationships discussed in Footnote 2, BRF may be deemed to beneficially own the shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009862 · ownership.xml · nonDerivative · entry 2

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,538,575

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009862 · ownership.xml · nonDerivative · entry 1

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,517,204

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009478 · ownership.xml · nonDerivative · entry 2

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,477,004

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009478 · ownership.xml · nonDerivative · entry 1

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,476,579

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009202 · ownership.xml · nonDerivative · entry 5

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,454,737

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein

F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009202 · ownership.xml · nonDerivative · entry 4

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,357,954

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein

F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009202 · ownership.xml · nonDerivative · entry 3

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,310,246

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-009202 · ownership.xml · nonDerivative · entry 2

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,262,504

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein

F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-009202 · ownership.xml · nonDerivative · entry 1

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,242,824

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 5

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

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

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

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

B. RILEY FBR, INC. · CIK 0000852412 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,223,139

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 4

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

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

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

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

B. RILEY FBR, INC. · CIK 0000852412 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,217,003

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 3

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

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

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

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

B. RILEY FBR, INC. · CIK 0000852412 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,210,864

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F4 · ownership.nature: Represents shares of Common Stock owned directly by BRFBR.

SEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 2

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

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

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

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

B. RILEY FBR, INC. · CIK 0000852412 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,170,685

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-008840 · ownership.xml · nonDerivative · entry 1

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

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

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

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

B. RILEY FBR, INC. · CIK 0000852412 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,130,501

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-008264 · ownership.xml · nonDerivative · entry 2

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,030,501

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-008264 · ownership.xml · nonDerivative · entry 1

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 8,012,001

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-007394 · ownership.xml · nonDerivative · entry 3

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 7,976,601

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-007394 · ownership.xml · nonDerivative · entry 2

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 7,955,961

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-007394 · ownership.xml · nonDerivative · entry 1

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 7,908,387

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F3 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001213900-20-006698 · ownership.xml · nonDerivative · entry 3

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See notes

Disclosed balance after: 7,833,387

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 4 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership ("BRPLP"), B. Riley Capital Management, LLC, a New York limited liability company ("BRCM"), BRC Partners Management GP, LLC, a Delaware limited liability company ("BRPGP"), and B. Riley FBR, Inc., a Delaware corporation ("BRFBR" and collectively, the "Filing Persons").

F2 · ownership.nature: 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 securities held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the securities held by BRFBR. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein.

F4 · ownership.nature: Represents shares of Common Stock owned directly by BRPLP.

SEC source: 0001628280-20-003830 · wf-form4_158465025570001.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

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.

F2 · 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 first achievement date occurred on March 17, 2020, 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, 2020, subject to continued employment. These shares are reflected on Table I, and 160,000 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 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 first achievement date occurred on March 17, 2020, 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, 2020, subject to continued employment. These shares are reflected on Table I, and 160,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0001628280-20-003830 · wf-form4_158465025570001.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2022-07-01

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 August 27, 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 sixty (60) day trading period between July 1, 2018 and June 30, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2021, 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 August 27, 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 sixty (60) day trading period between July 1, 2018 and June 30, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2021, 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: 0001628280-20-003830 · wf-form4_158465025570001.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,160,000

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 August 27, 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 sixty (60) day trading period between July 1, 2018 and June 30, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2021, 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 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 first achievement date occurred on March 17, 2020, 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, 2020, subject to continued employment. These shares are reflected on Table I, and 160,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0001628280-20-003831 · wf-form4_158465027906321.xml · derivative · entry 2

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2022-06-01

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 October 2, 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 sixty (60) day trading period between April 1, 2019 and May 31, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on May 31, 2021, 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 October 2, 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 sixty (60) day trading period between April 1, 2019 and May 31, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on May 31, 2021, 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: 0001628280-20-003831 · wf-form4_158465027906321.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

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 October 2, 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 sixty (60) day trading period between April 1, 2019 and May 31, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on May 31, 2021, 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.