King Elizabeth

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,114

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

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,330

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

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,875 shares

Expires 2025-07-01

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

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

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

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,208

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

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,458

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

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

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,583

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

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,875

Underlying: Common Stock · 6,875 shares

Expires 2025-07-01

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

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

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

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

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,008

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

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

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

SEC source: 0000709283-20-000024 · 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: 0000709283-20-000017 · 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: 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.

SEC source: 0000899243-19-027354 · doc4.xml · derivative · entry 2

King Elizabeth · CIK 0001770712 · CHIEF REVENUE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-11-13

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 June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The second achievement date occurred on November 13, 2019, 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, 2020, subject to continued employment. These shares are reflected on Table I, and 50,000 units remaining subject to 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 June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The second achievement date occurred on November 13, 2019, 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, 2020, subject to continued employment. These shares are reflected on Table I, and 50,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-027354 · doc4.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · CHIEF REVENUE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

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 June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The second achievement date occurred on November 13, 2019, 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, 2020, subject to continued employment. These shares are reflected on Table I, and 50,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-025105 · doc4.xml · derivative · entry 4

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 50,000 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.

F2 · derivative.exercise_price: Grant of 150,000 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 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 May 31, 2019, May 31, 2020 and May 31, 2021. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units vesting, as reflected on Table I, and 100,000 units remaining subject to performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Grant of 150,000 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 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 May 31, 2019, May 31, 2020 and May 31, 2021. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units vesting, as reflected on Table I, and 100,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-025105 · doc4.xml · derivative · entry 3

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-10-02

F2 · derivative.exercise_price: Grant of 150,000 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 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 May 31, 2019, May 31, 2020 and May 31, 2021. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units vesting, as reflected on Table I, and 100,000 units remaining subject to performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Grant of 150,000 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 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 May 31, 2019, May 31, 2020 and May 31, 2021. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units vesting, as reflected on Table I, and 100,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-025105 · doc4.xml · nonDerivative · entry 2

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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.

F2 · security: Grant of 150,000 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 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 May 31, 2019, May 31, 2020 and May 31, 2021. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 50,000 units vesting, as reflected on Table I, and 100,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-025105 · doc4.xml · nonDerivative · entry 1

King Elizabeth · CIK 0001770712 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

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 vest in three equal annual installments on April 1, 2020, April 1, 2021 and April 1, 2022, subject to continued employment.