QMCO

SEC source: 0000899243-19-025103 · doc4.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,244

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 that 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 June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 41,667 units vesting, as reflected on Table I, and 83,333 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-025099 · doc4.xml · derivative · entry 2

Lerner James J · CIK 0001602567 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 150,000 shares

Expires 2029-10-02

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 that were previously reported on August 23, 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 June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units vesting, as reflected on Table I, and 300,000 units remaining subject to performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units that were previously reported on August 23, 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 June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units vesting, as reflected on Table I, and 300,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-025099 · doc4.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 780,000

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 that were previously reported on August 23, 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 June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units vesting, as reflected on Table I, and 300,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-023274 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2029-09-06

F1 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

F1 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

SEC source: 0000899243-19-023276 · doc4.xml · derivative · entry 2

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2029-09-06

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

SEC source: 0000899243-19-023276 · doc4.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,331

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 RSUs vest in three equal annual installments on September 6, 2020, September 6, 2021 and September 6, 2022.

SEC source: 0000899243-19-023275 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,000

Underlying: Common Stock · 64,000 shares

Expires 2029-09-06

F1 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

F1 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

SEC source: 0000899243-19-023273 · doc4.xml · derivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2029-09-06

F1 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

F1 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, 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 hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

SEC source: 0000899243-19-023171 · doc4.xml · nonDerivative · entry 2

Press Clifford · CIK 0001345478 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,940

F2 · security: Grant of RSUs, each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs vest upon the earlier of the Quantum's 2020 Annual Meeting or September 5, 2020. These RSUs were approved in connection with the reinstatement of Quantum's normal equity compensation program for non-employee directors.

SEC source: 0000899243-19-023171 · doc4.xml · nonDerivative · entry 1

Press Clifford · CIK 0001345478 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,107

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs were fully vested upon the grant date September 5, 2020. Quantum's Board of Directors determined to suspend cash and equity compensation for all non-employee directors as of August 1, 2018 as a result of Quantum not being current with its SEC filings at that time, the financing needs of Quantum at that time and other factors. These RSUs were approved as fully vested in recognition of the Reporting Person's past services as a director.

SEC source: 0000899243-19-023123 · doc4.xml · nonDerivative · entry 2

RAU RAGHAVENDRA · CIK 0001492898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,018

F2 · security: Grant of RSUs, each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs vest upon the earlier of the Quantum's 2020 Annual Meeting or September 5, 2020. These RSUs were approved in connection with the reinstatement of Quantum's normal equity compensation program for non-employee directors.

SEC source: 0000899243-19-023123 · doc4.xml · nonDerivative · entry 1

RAU RAGHAVENDRA · CIK 0001492898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,185

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs were fully vested upon the grant date September 5, 2020. Quantum's Board of Directors determined to suspend cash and equity compensation for all non-employee directors as of August 1, 2018 as a result of Quantum not being current with its SEC filings at that time, the financing needs of Quantum at that time and other factors. These RSUs were approved as fully vested in recognition of the Reporting Person's past services as a director.

SEC source: 0000899243-19-023127 · doc4.xml · nonDerivative · entry 2

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,244

F2 · security: Grant of RSUs, each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs vest upon the earlier of the Quantum's 2020 Annual Meeting or September 5, 2020. These RSUs were approved in connection with the reinstatement of Quantum's normal equity compensation program for non-employee directors.

SEC source: 0000899243-19-023127 · doc4.xml · nonDerivative · entry 1

FICHTHORN JOHN · CIK 0001411509 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,411

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs will fully vest on the date of the Quantum 2019 Annual Meeting. These RSUs were granted in connection with the Reporting Person joining the Quantum Board on April 4, 2019.

SEC source: 0000899243-19-023121 · doc4.xml · nonDerivative · entry 2

Rothman Marc E · CIK 0001402025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,481

F2 · security: Grant of RSUs, each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs vest upon the earlier of the Quantum's 2020 Annual Meeting or September 5, 2020. These RSUs were approved in connection with the reinstatement of Quantum's normal equity compensation program for non-employee directors.

SEC source: 0000899243-19-023121 · doc4.xml · nonDerivative · entry 1

Rothman Marc E · CIK 0001402025 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,648

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs were fully vested upon the grant date September 5, 2020. Quantum's Board of Directors determined to suspend cash and equity compensation for all non-employee directors as of August 1, 2018 as a result of Quantum not being current with its SEC filings at that time, the financing needs of Quantum at that time and other factors. These RSUs were approved as fully vested in recognition of the Reporting Person's past services as a director.

SEC source: 0000899243-19-023119 · doc4.xml · nonDerivative · entry 2

Singer Eric · CIK 0001443284 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,514

F2 · security: Grant of RSUs, each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs vest upon the earlier of the Quantum's 2020 Annual Meeting or September 5, 2020. These RSUs were approved in connection with the reinstatement of Quantum's normal equity compensation program for non-employee directors.

SEC source: 0000899243-19-023119 · doc4.xml · nonDerivative · entry 1

Singer Eric · CIK 0001443284 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,681

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of Quantum. The RSUs were fully vested upon the grant date September 5, 2020. Quantum's Board of Directors determined to suspend cash and equity compensation for all non-employee directors as of August 1, 2018 as a result of Quantum not being current with its SEC filings at that time, the financing needs of Quantum at that time and other factors. These RSUs were approved as fully vested in recognition of the Reporting Person's past services as a director.

SEC source: 0000899243-19-022615 · doc4.xml · nonDerivative · entry 3

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,331

SEC source: 0000899243-19-022615 · doc4.xml · nonDerivative · entry 2

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0000899243-19-022615 · doc4.xml · nonDerivative · entry 1

Moorehead Lewis W. · CIK 0001597383 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

SEC source: 0000899243-19-022521 · doc4.xml · derivative · entry 3

DODSON J MICHAEL · CIK 0001231559 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2029-08-23

F3 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, 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 sixty (60) day trading period on a National Exchange occurring between June 1, 2018 and May 31, 2022. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on August 23, 2019, June 1, 2020 and June 1, 2021.

F3 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, 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 sixty (60) day trading period on a National Exchange occurring between June 1, 2018 and May 31, 2022. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on August 23, 2019, June 1, 2020 and June 1, 2021.

SEC source: 0000899243-19-022521 · doc4.xml · nonDerivative · entry 2

DODSON J MICHAEL · CIK 0001231559 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,577

F2 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. The RSUs were approved in connection with the reporting person's commencement of employment in 2018, although the grant was effective on August 23, 2019, the first business day on which QMCO became current with respect to its filings under the Exchange Act of 1934. The RSUs vest in three equal annual installments beginning on beginning on June 1, 2019; although the first vesting date was deferred until August 23, 2019. The remaining shares will vest in equal installments on June 1, 2020 and June 1, 2021.

SEC source: 0000899243-19-022521 · doc4.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,577

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. The RSUs were approved in connection with the reporting person's commencement of employment in 2018, although the grant was effective on August 23, 2019, the first business day on which QMCO became current with respect to its filings under the Exchange Act of 1934. 14,577 RSUs were fully vested when the grant became effective on August 23, 2019.

SEC source: 0000899243-19-022522 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2029-08-23

F3 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, 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 sixty (60) day trading period on a National Exchange occurring between July 1, 2018 and June 30, 2022. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on August 23, 2019, July 1, 2020 and July 1, 2021.

F3 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, 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 sixty (60) day trading period on a National Exchange occurring between July 1, 2018 and June 30, 2022. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on August 23, 2019, July 1, 2020 and July 1, 2021.

SEC source: 0000899243-19-022522 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,000

F2 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. The RSUs were approved in connection with the reporting person's commencement of employment in 2018, although the grant was effective on August 23, 2019, the first business day on which QMCO became current with respect to its filings under the Exchange Act of 1934. The RSUs vest in three equal annual installments beginning on beginning on July 1, 2019; although the first vesting date was deferred until August 23, 2019. The remaining shares will vest in equal installments on July 1, 2020 and July 1, 2021.

SEC source: 0000899243-19-022522 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. The RSUs were approved in connection with the reporting person's commencement of employment in 2018, although the grant was effective on August 23, 2019, the first business day on which QMCO became current with respect to its filings under the Exchange Act of 1934. 150,000 RSUs were fully vested when the grant became effective on August 23, 2019.

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 8

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 7

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,500

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 6

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 5

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 4

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 3

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 2

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0000899243-19-021612 · doc4.xml · nonDerivative · entry 1

DODSON J MICHAEL · CIK 0001231559 · SVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0000899243-19-021613 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

SEC source: 0000899243-19-021613 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0000899243-19-021613 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0000899243-19-021613 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0000899243-19-018941 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,831

F1 · shares: Surrender of shares to satisfy income and other employment related tax withholding obligations upon vesting of restricted stock units granted on 7/1/2015, 7/1/2016, 7/1/2017, and upon vesting of performance stock units granted on 7/1/2016.

SEC source: 0000899243-19-007296 · doc4.xml · nonDerivative · entry 1

SANCHEZ ADALIO T · CIK 0001641407 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,072

F1 · shares: Surrender of shares to satisfy income and other employment related tax withholding obligations upon vesting of restricted stock units granted on 12/1/2017, 1/1/2018 and 2/1/2018.

SEC source: 0000899243-19-007295 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,455

F1 · shares: Surrender of shares to satisfy income and other employment related tax withholding obligations upon vesting of restricted stock units granted on 7/1/2015, 7/1/2016 and 7/1/2017 and upon vesting of performance stock units granted on 7/1/2016.

SEC source: 0000899243-19-007294 · doc4.xml · nonDerivative · entry 1

HALL SHAWN D · CIK 0001261887 · Senior VP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,999

F1 · shares: Surrender of shares to satisfy income and other employment related tax withholding obligations upon vesting of restricted stock units granted on 7/1/2015, 7/1/2016, 7/1/2017 and 3/2/2017 and upon vesting of performance stock units granted on 7/1/2016.

SEC source: 0001615774-19-000884 · s115502_form4.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

Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner

BR Dialectic Capital Management, LLC · CIK 0001704985 · 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: 3,627,662

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.82, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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 BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. 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: 0001615774-19-000884 · s115502_form4.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

Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner

BR Dialectic Capital Management, LLC · CIK 0001704985 · 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: 3,546,580

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.646 to $1.70, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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 BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. 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: 0001615774-19-000884 · s115502_form4.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

Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner

BR Dialectic Capital Management, LLC · CIK 0001704985 · 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: 969,900

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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 BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. 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 Dialectic.

SEC source: 0001615774-19-000723 · s115420_form4.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

Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner

BR Dialectic Capital Management, LLC · CIK 0001704985 · 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: 3,529,077

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.41 to $1.61, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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 BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. 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: 0001615774-19-000723 · s115420_form4.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

Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner

BR Dialectic Capital Management, LLC · CIK 0001704985 · 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: 2,642,025

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.5299 to $1.70, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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 BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. 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: 0001615774-19-000723 · s115420_form4.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

Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner

BR Dialectic Capital Management, LLC · CIK 0001704985 · 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: 2,369,124

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.42 to $1.70, inclusive. The Filing Persons reporting person undertakes to provide to the Commission, upon request, full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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 BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. 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: 0001615774-19-000547 · s115340_form4.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

Dialectic Antithesis Partners, LP · CIK 0001325552 · 10% owner

BR Dialectic Capital Management, LLC · CIK 0001704985 · 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: 2,195,124

F1 · ownership.nature: In addition to B. Riley Financial, Inc., a Delaware corporation ("BRF"), this Form 3 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"), B. Riley FBR, Inc., a Delaware corporation ("BRFBR"), Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic") and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the "Filing Persons").

F2 · ownership.nature: BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and 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 BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. 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.