Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| QUANTUM CORP /DE/QMCO · Entity 4987 | SVP, Engineering | August 24, 2020 | August 26, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
QUANTUM CORP /DE/
Report date August 24, 2020 · Filed August 26, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 81,407 |
Reported balance
After 2020-08-24 transaction · row 1
1 source rowRow 1 · 2020-08-24 · Sale · Disposed 1,931 · Balance 81,407 F1: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 24, 2020 Filed Aug 26, 2020 20:23 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock | 1,931 | $5.38 | $10,393.41 |
DisclosureSEC 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. Read SEC document |
| July 01, 2020 Filed Jul 2, 2020 20:27 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantPerformance-Based Restricted Stock Units · Derivative | 16,250 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| July 01, 2020 Filed Jul 2, 2020 20:27 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 32,500 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 20:36 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | Exercise / conversionPerformance-Based Restricted Stock Units · Derivative | 21,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-003827 · wf-form4_158465018138052.xml · derivative · entry 2 Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,667 Underlying: Common Stock · 21,333 shares Expires 2029-09-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 21,333 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 42,667 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 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 21,333 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 42,667 units remain subject to these performance-based and time-based vesting conditions. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 20:36 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | Exercise / conversionCommon Stock | 21,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-20-003827 · wf-form4_158465018138052.xml · nonDerivative · entry 1 Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,838 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 21,333 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 42,667 units remain subject to these performance-based and time-based vesting conditions. Read SEC document |
| February 25, 2020 Filed Feb 26, 2020 01:04 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock | 5 | $5.30 | $26.50 |
DisclosureSEC source: 0000899243-20-005834 · doc4.xml · nonDerivative · entry 3 Martella Donald E. Jr. · CIK 0001649891 · SVP, ENGINEERING 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,838 Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 01:04 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock | 16,114 | $5.31 | $85,581.45 |
DisclosureSEC source: 0000899243-20-005834 · doc4.xml · nonDerivative · entry 2 Martella Donald E. Jr. · CIK 0001649891 · SVP, ENGINEERING 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,843 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.300 to $5.370, inclusive. Read SEC document |
| February 21, 2020 Filed Feb 26, 2020 01:04 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock | 62,207 | $5.61 | $348,919.06 |
DisclosureSEC source: 0000899243-20-005834 · doc4.xml · nonDerivative · entry 1 Martella Donald E. Jr. · CIK 0001649891 · SVP, ENGINEERING 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,957 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.555 to $5.735, inclusive. The reporting person undertakes to provide to Quantum Corporation, any security holder of Quantum Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4. Read SEC document |
| September 06, 2019 Filed Sep 10, 2019 21:44 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantPerformance-Based Restricted Stock Units · Derivative | 64,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 21:57 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | Tax withholdingCommon Stock | 6,624 | $2.64 | $17,487.36 |
DisclosureSEC 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. Read SEC document |
| March 08, 2019 Filed Mar 12, 2019 21:34 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | Tax withholdingCommon Stock | 6,172 | $2.44 | $15,059.68 |
DisclosureSEC 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. Read SEC document |
| August 04, 2017 Filed Aug 7, 2017 20:07 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | OtherCommon Stock | 625 | $6.14 | $3,837.75 |
DisclosureSEC source: 0001209191-17-047872 · doc4.xml · nonDerivative · entry 1 Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,627 F1 · kind: Securities acquired in an exempt purchase under Company's Section 423 Employee Stock Purchase Plan. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:27 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | Tax withholdingCommon Stock | 7,886 | $7.81 | $61,589.66 |
DisclosureSEC source: 0001209191-17-043082 · doc4.xml · nonDerivative · entry 2 Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,002 F2 · shares: Surrender of shares to satisfy income and other employment related tax withholding obligations upon vesting of restricted stock units granted on 7/1/2014, 7/1/2015 and 7/1/2016 and upon vesting of performance stock units granted on 7/1/2014 and 7/1/2016. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:27 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-043082 · doc4.xml · nonDerivative · entry 1 Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,888 F1 · shares: Restricted stock units will vest in equal installments on 07/01/2018, 07/01/2019, and 07/01/2020. Read SEC document |
| May 31, 2017 Filed Jun 1, 2017 17:13 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | GrantCommon Stock | 17,628 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-036685 · doc4.xml · nonDerivative · entry 1 Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,888 F1 · shares: Performance stock units will vest in equal installments on 7/1/17, 7/1/18 and 7/1/19. Read SEC document |
| February 03, 2017 Filed Feb 6, 2017 23:04 UTC | QUANTUM CORP /DE/ QTM · Entity 4987 | OtherCommon Stock | 2,245 | $0.52 | $1,164.48 |
DisclosureSEC source: 0001209191-17-008100 · doc4.xml · nonDerivative · entry 1 Martella Donald E. Jr. · CIK 0001649891 · SVP, Engineering 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 722,086 F1 · kind: Securities acquired in an exempt purchase under Company's Section 423 Employee Stock Purchase Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.