Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACHIEVE LIFE SCIENCES, INC.ACHV · Entity 5072 | 10% owner | November 18, 2022 | November 21, 2022 |
| Benefytt Technologies, Inc.BFYT · Entity 147002 | Director | August 21, 2020 | August 25, 2020 |
| Paradium.AI, Inc.MVEN · Entity 7275 | Director | September 01, 2018 | February 17, 2021 |
| QUANTUM CORP /DE/QMCO · Entity 4987 | Director · 10% owner | October 01, 2026 | October 05, 2026 |
| Ranger Energy Services, Inc.RNGR · Entity 5649 | 10% owner | April 18, 2022 | May 03, 2022 |
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.
ACHIEVE LIFE SCIENCES, INC.
Report date November 18, 2022 · Filed November 21, 2022
Jointly reported with DIALECTIC CAPITAL MANAGEMENT, LP, Dialectic Partners, LLC, Dialectic LS Manager LLC, Dialectic Life Sciences SPV LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectBy: Dialectic Life Sciences SPV LLC | 3,494,000 |
Reported balance
Holding disclosure · report date 2022-11-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 3,494,000 F3: The reported securities are included within 1,747,000 ACHV Units purchased by the SPV on November 18, 2022. Each Unit consists of two shares of Common Stock and one warrant to purchase one share of Common Stock. F1: These securities are held directly by Dialectic Life Sciences SPV LLC (the "SPV"). The SPV is a private investment vehicle. Dialectic Capital Management LP (the "Adviser") is the investment adviser for the SPV. Dialectic Partners, LLC (the "Adviser GP") is the general partner of the Adviser. Dialectic LS Manager LLC (the "SPV MM") is the managing member of the SPV. John Fichthorn is the controlling person of the Adviser GP and the SPV MM. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectBy: John Fichthorn | 55,000 |
Reported balance
Holding disclosure · report date 2022-11-18 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 55,000 F2: These securities are held directly by John Fichthorn. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.50 · Expires 2029-11-18 | IndirectBy: Dialectic Life Sciences SPV LLC | Not disclosed |
Reported balance
Holding disclosure · report date 2022-11-18 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: The Issuer shall not effect any exercise of these warrants, and the SPV shall not have the right to exercise these warrants, to the extent that after giving effect to the issuance of Common Stock after exercise, the SPV (together with the SPV's affiliates, and any other persons acting as a group together with the SPV or any of the SPV's affiliates) would beneficially own in excess of the Beneficial Ownership Limitation. F5: The "Beneficial Ownership Limitation" shall be 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock upon exercise of these warrants. The SPV, upon notice to the Issuer, may decrease, and subsequently increase or decrease, the Beneficial Ownership Limitation, provided that the Beneficial Ownership Limitation in no event exceeds 19.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock upon exercise of these warrants. Any increase in the Beneficial Ownership Limitation will not be effective until the 61st day after notice is delivered to the Issuer. F3: The reported securities are included within 1,747,000 ACHV Units purchased by the SPV on November 18, 2022. Each Unit consists of two shares of Common Stock and one warrant to purchase one share of Common Stock. F1: These securities are held directly by Dialectic Life Sciences SPV LLC (the "SPV"). The SPV is a private investment vehicle. Dialectic Capital Management LP (the "Adviser") is the investment adviser for the SPV. Dialectic Partners, LLC (the "Adviser GP") is the general partner of the Adviser. Dialectic LS Manager LLC (the "SPV MM") is the managing member of the SPV. John Fichthorn is the controlling person of the Adviser GP and the SPV MM. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held directly by Dialectic Life Sciences SPV LLC (the "SPV"). The SPV is a private investment vehicle. Dialectic Capital Management LP (the "Adviser") is the investment adviser for the SPV. Dialectic Partners, LLC (the "Adviser GP") is the general partner of the Adviser. Dialectic LS Manager LLC (the "SPV MM") is the managing member of the SPV. John Fichthorn is the controlling person of the Adviser GP and the SPV MM. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
F2: These securities are held directly by John Fichthorn. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
F3: The reported securities are included within 1,747,000 ACHV Units purchased by the SPV on November 18, 2022. Each Unit consists of two shares of Common Stock and one warrant to purchase one share of Common Stock.
F4: The Issuer shall not effect any exercise of these warrants, and the SPV shall not have the right to exercise these warrants, to the extent that after giving effect to the issuance of Common Stock after exercise, the SPV (together with the SPV's affiliates, and any other persons acting as a group together with the SPV or any of the SPV's affiliates) would beneficially own in excess of the Beneficial Ownership Limitation.
F5: The "Beneficial Ownership Limitation" shall be 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock upon exercise of these warrants. The SPV, upon notice to the Issuer, may decrease, and subsequently increase or decrease, the Beneficial Ownership Limitation, provided that the Beneficial Ownership Limitation in no event exceeds 19.99% of the number of shares of the Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock upon exercise of these warrants. Any increase in the Beneficial Ownership Limitation will not be effective until the 61st day after notice is delivered to the Issuer.
Benefytt Technologies, Inc.
Report date August 21, 2020 · Filed August 25, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-08-21 transaction · row 1
1 source rowRow 1 · 2020-08-21 · Other · Disposed 17,809 · Balance 0 F1: On August 21, 2020, Daylight Beta Corp., a Delaware corporation ("Purchaser") and a wholly owned subsidiary of Daylight Beta Parent Corp., a Delaware corporation ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Benefytt Technologies, Inc., a Delaware corporation (the "Issuer"), pursuant to that certain Agreement and Plan of Merger dated July 12, 2020 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on August 21, 2020, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned and indirect subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on August 21, 2020. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. |
| Class A Common StockSEC Table I · non-derivative | IndirectHeld by Dialectic Antithesis Partners, LP | 0 |
Reported balance
After 2020-08-21 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-08-21 · Other · Disposed 109,362 · Balance 0 F1: On August 21, 2020, Daylight Beta Corp., a Delaware corporation ("Purchaser") and a wholly owned subsidiary of Daylight Beta Parent Corp., a Delaware corporation ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Benefytt Technologies, Inc., a Delaware corporation (the "Issuer"), pursuant to that certain Agreement and Plan of Merger dated July 12, 2020 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on August 21, 2020, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned and indirect subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on August 21, 2020. F2: Represents shares tendered to the Purchaser in connection with the Tender Offer. F3: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 21, 2020, Daylight Beta Corp., a Delaware corporation ("Purchaser") and a wholly owned subsidiary of Daylight Beta Parent Corp., a Delaware corporation ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Benefytt Technologies, Inc., a Delaware corporation (the "Issuer"), pursuant to that certain Agreement and Plan of Merger dated July 12, 2020 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on August 21, 2020, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned and indirect subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on August 21, 2020.
F2: Represents shares tendered to the Purchaser in connection with the Tender Offer.
F3: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own.
Paradium.AI, Inc.
Report date September 01, 2018 · Filed February 17, 2021 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 879,920 |
Last balance in matching sequence
After 2021-01-01 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2018-09-01 · Grant · Acquired 59,525 · Balance 59,525 Row 2 · 2019-01-01 · Grant · Acquired 208,333 · Balance 267,858 Row 3 · 2020-02-06 · Grant · Acquired 125,000 · Balance 392,858 Row 4 · 2020-12-31 · Conversion · Acquired 320,395 · Balance 713,253 F5: Acquired as a result of Convertible Debenture conversion of both principal and interest, as agreed by shareholder and Issuer Row 5 · 2021-01-01 · Grant · Acquired 166,667 · Balance 879,920 |
| Convertible Debenture - AcquisitionSEC Table II · derivative / convertible security · Expires 2020-12-31 | Direct | Not disclosed |
Reported balance
After 2019-03-18 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2019-03-18 · Grant · Acquired Not disclosed · Balance Not disclosed F6: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020 |
| Options to purchaseSEC Table II · derivative / convertible security · Conversion / exercise price $0.46 · Expires 2019-04-10 | Direct | 967,280 |
Reported balance
After 2019-04-10 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2019-04-10 · Grant · Acquired 967,280 · Balance 967,280 F1: Vesting is a combined overlay of Time-based, Stock-Price-based, and Stock-Listing-based conditions. Time-based vesting is 1/3 vest after 1 year, with the balance monthly over next 2 years. Stock-Price vesting is a potential downward adjustment to the otherwise Time-based vested shares, where such adjustment is based on the rolling 45-day Volume Weighted Average Price set against specific price targets. Stock Listing vesting means that no otherwise Time-based and Stock Price-based vested shares are actually deemed as vested unless the Issuer's common stock is listed on a national securities exchange registered with the Securities and Exchange Commission under Section 6 of the Securities Exchange Act of 1934. F2: The ability to exercise is subject to both: i) vesting conditions (1) and ii) the Issuer's Board of Directors approving a requisite increase in authorized shares of common stock, after the date the grant was issued, that would apply to this grant |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 750,000 |
Reported balance
After 2020-06-05 transaction · row 8
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 8 · 2020-06-05 · Grant · Acquired 750,000 · Balance 750,000 F3: 250,000 vest on 12/31/20 subject to achievement of strategic goals to be set by the Board; 250,000 vest in 6 monthly installments beginning 1/1/2021; 125,000 vest on 12/31/20 if ABG good standing1(meaning that between the Date of Grant and December 31, 2020, the Issuer remains at all times in good standing with Authentic Brands Group and its affiliates ("ABG"), with "good standing" with ABG being deemed so long as no litigation is or has been initiated, or is in the view of the Board of Directors of the Issuer, imminent, between the Company and ABG); and 125,000 vest upon successful completion of the listing of the Issuer's common stock on a national securities exchange, provided that either (i) such listing is complete on or before March 31, 2021 or (ii) the Company is current in its periodic filings with the Securities and Exchange Commission by December 31, 2020; F4: No RSUs may vest or be exercised prior to both (i) the date on which the Issuer duly files an amendment to its certificate of incorporation to sufficiently increase its authorized common stock to permit the settlement in full of exercise of all convertible securities outstanding, and (ii) the date on which the Issuer's board of directors and stockholders have both duly approved an increase in the requisite number of shares of common stock available under the Plan sufficient to permit the immediate settlement in full of the RSUs. |
| Convertible Debenture - ConversionSEC Table II · derivative / convertible security · Expires 2020-12-31 | Direct | Not disclosed |
Reported balance
After 2020-12-31 transaction · row 9
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 9 · 2020-12-31 · Conversion · Disposed Not disclosed · Balance Not disclosed F7: Convertible Debenture disposition of both principal and interest |
Filing footnotes · ownership attribution and instrument terms
F1: Vesting is a combined overlay of Time-based, Stock-Price-based, and Stock-Listing-based conditions. Time-based vesting is 1/3 vest after 1 year, with the balance monthly over next 2 years. Stock-Price vesting is a potential downward adjustment to the otherwise Time-based vested shares, where such adjustment is based on the rolling 45-day Volume Weighted Average Price set against specific price targets. Stock Listing vesting means that no otherwise Time-based and Stock Price-based vested shares are actually deemed as vested unless the Issuer's common stock is listed on a national securities exchange registered with the Securities and Exchange Commission under Section 6 of the Securities Exchange Act of 1934.
F2: The ability to exercise is subject to both: i) vesting conditions (1) and ii) the Issuer's Board of Directors approving a requisite increase in authorized shares of common stock, after the date the grant was issued, that would apply to this grant
F3: 250,000 vest on 12/31/20 subject to achievement of strategic goals to be set by the Board; 250,000 vest in 6 monthly installments beginning 1/1/2021; 125,000 vest on 12/31/20 if ABG good standing1(meaning that between the Date of Grant and December 31, 2020, the Issuer remains at all times in good standing with Authentic Brands Group and its affiliates ("ABG"), with "good standing" with ABG being deemed so long as no litigation is or has been initiated, or is in the view of the Board of Directors of the Issuer, imminent, between the Company and ABG); and 125,000 vest upon successful completion of the listing of the Issuer's common stock on a national securities exchange, provided that either (i) such listing is complete on or before March 31, 2021 or (ii) the Company is current in its periodic filings with the Securities and Exchange Commission by December 31, 2020;
F4: No RSUs may vest or be exercised prior to both (i) the date on which the Issuer duly files an amendment to its certificate of incorporation to sufficiently increase its authorized common stock to permit the settlement in full of exercise of all convertible securities outstanding, and (ii) the date on which the Issuer's board of directors and stockholders have both duly approved an increase in the requisite number of shares of common stock available under the Plan sufficient to permit the immediate settlement in full of the RSUs.
F5: Acquired as a result of Convertible Debenture conversion of both principal and interest, as agreed by shareholder and Issuer
F6: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020
F7: Convertible Debenture disposition of both principal and interest
QUANTUM CORP /DE/
Report date October 01, 2026 · Filed October 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,896 |
Reported balance
After 2026-10-01 transaction · row 1
1 source rowRow 1 · 2026-10-01 · Grant · Acquired 12,000 · Balance 40,896 F1: 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 full on the earlier of October 1, 2027 or the date of the Companys next annual meeting of stockholders, in each case subject to the Reporting Persons continued service on the Companys Board of Directors. |
| Common StockSEC Table I · non-derivative | Indirectby Dialectic Technology SPV LLC | 14,104,620 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 14,104,620 F2: These shares are held directly by Dialectic Technology SPV LLC (Dialectic), a 10% holder of the Issuer and indirectly by the Reporting Person. Dialectic Technology Manager LLC is the Manager of Dialectic, and the Reporting Person is the Manager of Dialectic Technology Manager LLC. The Reporting Person disclaims beneficial ownership of these shares held by Dialectic, except to the extent of the Reporting Persons pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 full on the earlier of October 1, 2027 or the date of the Companys next annual meeting of stockholders, in each case subject to the Reporting Persons continued service on the Companys Board of Directors.
F2: These shares are held directly by Dialectic Technology SPV LLC (Dialectic), a 10% holder of the Issuer and indirectly by the Reporting Person. Dialectic Technology Manager LLC is the Manager of Dialectic, and the Reporting Person is the Manager of Dialectic Technology Manager LLC. The Reporting Person disclaims beneficial ownership of these shares held by Dialectic, except to the extent of the Reporting Persons pecuniary interest therein, if any.
Ranger Energy Services, Inc.
Report date April 18, 2022 · Filed May 03, 2022 · Amendment
Jointly reported with DIALECTIC CAPITAL MANAGEMENT, LP, Dialectic Partners, LLC, Dialectic Geronimo SPV LLC, Dialectic Geronimo Manager LLC
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy: Dialectic Geronimo SPV LLC | 2,857,143 |
Reported balance
Holding disclosure · report date 2022-04-18 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 2,857,143 F1: These securities are held directly by Dialectic Geronimo SPV LLC ("Geronimo"). Geronimo is a private investment vehicle. Dialectic Capital Management LP (the "Adviser") is the investment adviser for Geronimo. Dialectic Partners, LLC (the "Adviser GP") is the general partner of the Adviser. Dialectic Geronimo Manager LLC (the "Geronimo MM") is the managing member of Geronimo. John Fichthorn is the controlling person of the Adviser GP and the Geronimo MM. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
| Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy: John Fichthorn | 174,083 |
Reported balance
Holding disclosure · report date 2022-04-18 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 174,083 F2: These securities are held directly by John Fichthorn. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held directly by Dialectic Geronimo SPV LLC ("Geronimo"). Geronimo is a private investment vehicle. Dialectic Capital Management LP (the "Adviser") is the investment adviser for Geronimo. Dialectic Partners, LLC (the "Adviser GP") is the general partner of the Adviser. Dialectic Geronimo Manager LLC (the "Geronimo MM") is the managing member of Geronimo. John Fichthorn is the controlling person of the Adviser GP and the Geronimo MM. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
F2: These securities are held directly by John Fichthorn. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| October 01, 2026 Filed Oct 5, 2026 21:20 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-065068 · wk-form4_1791235203.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,896 F1 · shares: 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 full on the earlier of October 1, 2027 or the date of the Companys next annual meeting of stockholders, in each case subject to the Reporting Persons continued service on the Companys Board of Directors. Read SEC document |
| June 04, 2026 Filed Jun 9, 2026 01:54 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | ConversionConvertible Notes · Derivative | 57,241,228 | Not disclosed Strike: $5.19 | Not disclosed |
DisclosureSEC source: 0001628280-26-041759 · wk-form4_1780970074.xml · derivative · entry 5 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · by Dialectic Technology SPV LLC Disclosed balance after: 0 Underlying: Common Stock · 11,020,645 shares Expires not disclosed 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: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · derivative.exercise_price: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F1 · shares: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · shares: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F1 · price: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F3 · price: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. F1 · derivative.expiration_date: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · derivative.expiration_date: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F1 · derivative.underlying_shares: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · derivative.underlying_shares: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F1 · balance_after: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F3 · balance_after: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. F3 · ownership.nature: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| June 04, 2026 Filed Jun 9, 2026 01:54 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 3,083,975 | $5.19 | $16,018,166.15 |
DisclosureSEC source: 0001628280-26-041759 · wk-form4_1780970074.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · by Dialectic Technology SPV LLC Disclosed balance after: 14,104,620 F1 · kind: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · kind: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F1 · balance_after: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · balance_after: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F4 · balance_after: On the Closing Date, as consideration for the Conversion, the Issuer issued to Dialectic, (i) 3,083,975 additional shares of Common Stock (the "Consideration Shares"), which represents the quotient of (A) approximately $13.0 million, the present value of nominal PIK interest that would accrue on the Convertible Notes from the Closing Date to the maturity date thereof, discounted at a rate of 11%, plus (B) approximately $3.0 million, the Term Loan Deferred Cash Interest Amount (as defined in the Credit Agreement) owed to Dialectic, divided by $5.194. F3 · ownership.nature: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| June 04, 2026 Filed Jun 9, 2026 01:54 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | ConversionCommon Stock | 11,020,645 | $5.19 | $57,241,230.13 |
DisclosureSEC source: 0001628280-26-041759 · wk-form4_1780970074.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · by Dialectic Technology SPV LLC Disclosed balance after: 11,020,645 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 · kind: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · kind: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F1 · balance_after: On June 4, 2026 (the "Closing Date"), pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among, among others, the Issuer and Dialectic (as defined below), Dialectic converted $57,241,228.00 of the previously issued 10.00% PIK senior secured convertible notes due 2028 (the "Convertible Notes"), consisting of the entire principal amount and all accrued and unpaid interest thereon, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). F2 · balance_after: In connection with the Conversion, on the Closing Date, the Convertible Notes were cancelled, and the Issuer issued to Dialectic 11,020,645 shares of Common Stock (as defined below). F3 · ownership.nature: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| June 01, 2026 Filed Jun 9, 2026 01:54 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | OtherWarrant (right to buy) · Derivative | 105,911 | Not disclosed Strike: $5.19 | Not disclosed |
DisclosureSEC source: 0001628280-26-041759 · wk-form4_1780970074.xml · derivative · entry 4 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · by Dialectic Technology SPV LLC Disclosed balance after: 105,911 Underlying: Common Stock · 105,911 shares Expires 2031-06-01 F6 · derivative.exercise_price: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F6 · date: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F6 · shares: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F6 · price: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F6 · derivative.exercise_date: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F6 · derivative.expiration_date: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F6 · derivative.underlying_shares: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F6 · balance_after: On June 1, 2026 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Conversion Warrant") to purchase 105,911 (as may be adjusted pursuant to the Conversion Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $5.194 per share (as adjusted from time to time in accordance with the Conversion Warrant) on or after the Issuance Date and until the date that is five (5) years from the Issuance Date. F3 · ownership.nature: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| January 01, 2026 Filed Jan 6, 2026 00:22 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-26-000742 · wk-form4_1767658967.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,271 F1 · shares: 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 full on the earlier of January 1, 2027 or the date of the Company's next annual meeting of stockholders, in each case subject to the Reporting Person's continued service on the Company's Board of Directors. Read SEC document |
| December 18, 2025 Filed Dec 30, 2025 01:27 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | OtherConvertible Notes · Derivative | 0 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000709283-25-000099 · wk-form4_1767058062.xml · derivative · entry 3 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · by Dialectic Technology SPV LLC Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires 2028-12-18 F4 · derivative.exercise_price: On December 18, 2025 (the "Closing Date"), the Issuer issued senior secured convertible notes (the "Convertible Notes") in the aggregate principal amount of $54,718,114 to Dialectic. The Convertible Notes mature on December 18, 2028 (the "Maturity Date") and have an interest rate of 10.00% per annum, payable in kind, compounded annually. The initial conversion price of the Convertible Notes equals $10.00 per share (the "Conversion Price") of Common Stock, subject to adjustment, and includes antidilution protections in favor of Dialectic as set forth in the Convertible Notes. The Conversion Price is subject to adjustment on the last day of the three (3) calendar quarters immediately following the Closing Date (each, a "Reset Price Date") to the greater of (a) $4.00 per share and (b) the lesser of (i) the then Conversion Price and (ii) the 30-day daily VWAP of the Common Stock immediately preceding the Reset Price Date. F5 · derivative.exercise_price: Based on the Conversion Price as of the Closing Date, the Convertible Notes were convertible into 5,471,811 shares of Common Stock. At the Issuer's option, all outstanding principal amount, accrued and unpaid interest and premium, if any, of any Convertible Notes outstanding on the Maturity Date will be exchanged into shares of Common Stock at an exchange price equal to 80% of the market price as set forth in the Convertible Notes. Following the six (6)-month anniversary of Closing Date, if certain conditions are met, the Issuer may elect to require the exchange of a portion of the total outstanding amount of any Convertible Notes into shares of Common Stock at the then outstanding Conversion Price. F4 · shares: On December 18, 2025 (the "Closing Date"), the Issuer issued senior secured convertible notes (the "Convertible Notes") in the aggregate principal amount of $54,718,114 to Dialectic. The Convertible Notes mature on December 18, 2028 (the "Maturity Date") and have an interest rate of 10.00% per annum, payable in kind, compounded annually. The initial conversion price of the Convertible Notes equals $10.00 per share (the "Conversion Price") of Common Stock, subject to adjustment, and includes antidilution protections in favor of Dialectic as set forth in the Convertible Notes. The Conversion Price is subject to adjustment on the last day of the three (3) calendar quarters immediately following the Closing Date (each, a "Reset Price Date") to the greater of (a) $4.00 per share and (b) the lesser of (i) the then Conversion Price and (ii) the 30-day daily VWAP of the Common Stock immediately preceding the Reset Price Date. F5 · shares: Based on the Conversion Price as of the Closing Date, the Convertible Notes were convertible into 5,471,811 shares of Common Stock. At the Issuer's option, all outstanding principal amount, accrued and unpaid interest and premium, if any, of any Convertible Notes outstanding on the Maturity Date will be exchanged into shares of Common Stock at an exchange price equal to 80% of the market price as set forth in the Convertible Notes. Following the six (6)-month anniversary of Closing Date, if certain conditions are met, the Issuer may elect to require the exchange of a portion of the total outstanding amount of any Convertible Notes into shares of Common Stock at the then outstanding Conversion Price. F4 · price: On December 18, 2025 (the "Closing Date"), the Issuer issued senior secured convertible notes (the "Convertible Notes") in the aggregate principal amount of $54,718,114 to Dialectic. The Convertible Notes mature on December 18, 2028 (the "Maturity Date") and have an interest rate of 10.00% per annum, payable in kind, compounded annually. The initial conversion price of the Convertible Notes equals $10.00 per share (the "Conversion Price") of Common Stock, subject to adjustment, and includes antidilution protections in favor of Dialectic as set forth in the Convertible Notes. The Conversion Price is subject to adjustment on the last day of the three (3) calendar quarters immediately following the Closing Date (each, a "Reset Price Date") to the greater of (a) $4.00 per share and (b) the lesser of (i) the then Conversion Price and (ii) the 30-day daily VWAP of the Common Stock immediately preceding the Reset Price Date. F5 · price: Based on the Conversion Price as of the Closing Date, the Convertible Notes were convertible into 5,471,811 shares of Common Stock. At the Issuer's option, all outstanding principal amount, accrued and unpaid interest and premium, if any, of any Convertible Notes outstanding on the Maturity Date will be exchanged into shares of Common Stock at an exchange price equal to 80% of the market price as set forth in the Convertible Notes. Following the six (6)-month anniversary of Closing Date, if certain conditions are met, the Issuer may elect to require the exchange of a portion of the total outstanding amount of any Convertible Notes into shares of Common Stock at the then outstanding Conversion Price. F4 · derivative.expiration_date: On December 18, 2025 (the "Closing Date"), the Issuer issued senior secured convertible notes (the "Convertible Notes") in the aggregate principal amount of $54,718,114 to Dialectic. The Convertible Notes mature on December 18, 2028 (the "Maturity Date") and have an interest rate of 10.00% per annum, payable in kind, compounded annually. The initial conversion price of the Convertible Notes equals $10.00 per share (the "Conversion Price") of Common Stock, subject to adjustment, and includes antidilution protections in favor of Dialectic as set forth in the Convertible Notes. The Conversion Price is subject to adjustment on the last day of the three (3) calendar quarters immediately following the Closing Date (each, a "Reset Price Date") to the greater of (a) $4.00 per share and (b) the lesser of (i) the then Conversion Price and (ii) the 30-day daily VWAP of the Common Stock immediately preceding the Reset Price Date. F5 · derivative.expiration_date: Based on the Conversion Price as of the Closing Date, the Convertible Notes were convertible into 5,471,811 shares of Common Stock. At the Issuer's option, all outstanding principal amount, accrued and unpaid interest and premium, if any, of any Convertible Notes outstanding on the Maturity Date will be exchanged into shares of Common Stock at an exchange price equal to 80% of the market price as set forth in the Convertible Notes. Following the six (6)-month anniversary of Closing Date, if certain conditions are met, the Issuer may elect to require the exchange of a portion of the total outstanding amount of any Convertible Notes into shares of Common Stock at the then outstanding Conversion Price. F4 · derivative.underlying_shares: On December 18, 2025 (the "Closing Date"), the Issuer issued senior secured convertible notes (the "Convertible Notes") in the aggregate principal amount of $54,718,114 to Dialectic. The Convertible Notes mature on December 18, 2028 (the "Maturity Date") and have an interest rate of 10.00% per annum, payable in kind, compounded annually. The initial conversion price of the Convertible Notes equals $10.00 per share (the "Conversion Price") of Common Stock, subject to adjustment, and includes antidilution protections in favor of Dialectic as set forth in the Convertible Notes. The Conversion Price is subject to adjustment on the last day of the three (3) calendar quarters immediately following the Closing Date (each, a "Reset Price Date") to the greater of (a) $4.00 per share and (b) the lesser of (i) the then Conversion Price and (ii) the 30-day daily VWAP of the Common Stock immediately preceding the Reset Price Date. F5 · derivative.underlying_shares: Based on the Conversion Price as of the Closing Date, the Convertible Notes were convertible into 5,471,811 shares of Common Stock. At the Issuer's option, all outstanding principal amount, accrued and unpaid interest and premium, if any, of any Convertible Notes outstanding on the Maturity Date will be exchanged into shares of Common Stock at an exchange price equal to 80% of the market price as set forth in the Convertible Notes. Following the six (6)-month anniversary of Closing Date, if certain conditions are met, the Issuer may elect to require the exchange of a portion of the total outstanding amount of any Convertible Notes into shares of Common Stock at the then outstanding Conversion Price. F4 · balance_after: On December 18, 2025 (the "Closing Date"), the Issuer issued senior secured convertible notes (the "Convertible Notes") in the aggregate principal amount of $54,718,114 to Dialectic. The Convertible Notes mature on December 18, 2028 (the "Maturity Date") and have an interest rate of 10.00% per annum, payable in kind, compounded annually. The initial conversion price of the Convertible Notes equals $10.00 per share (the "Conversion Price") of Common Stock, subject to adjustment, and includes antidilution protections in favor of Dialectic as set forth in the Convertible Notes. The Conversion Price is subject to adjustment on the last day of the three (3) calendar quarters immediately following the Closing Date (each, a "Reset Price Date") to the greater of (a) $4.00 per share and (b) the lesser of (i) the then Conversion Price and (ii) the 30-day daily VWAP of the Common Stock immediately preceding the Reset Price Date. F5 · balance_after: Based on the Conversion Price as of the Closing Date, the Convertible Notes were convertible into 5,471,811 shares of Common Stock. At the Issuer's option, all outstanding principal amount, accrued and unpaid interest and premium, if any, of any Convertible Notes outstanding on the Maturity Date will be exchanged into shares of Common Stock at an exchange price equal to 80% of the market price as set forth in the Convertible Notes. Following the six (6)-month anniversary of Closing Date, if certain conditions are met, the Issuer may elect to require the exchange of a portion of the total outstanding amount of any Convertible Notes into shares of Common Stock at the then outstanding Conversion Price. F3 · ownership.nature: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| September 23, 2025 Filed Dec 30, 2025 01:27 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | OtherWarrant (right to buy) · Derivative | 2,653,308 | Not disclosed Strike: $8.81 | Not disclosed |
DisclosureSEC source: 0000709283-25-000099 · wk-form4_1767058062.xml · derivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · by Dialectic Technology SPV LLC Disclosed balance after: 2,653,308 Underlying: Common Stock · 2,653,308 shares Expires 2032-09-23 F1 · derivative.exercise_price: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F1 · date: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F2 · date: The Forbearance Warrant is subject to a 4.99% beneficial ownership limitation and cannot be exercised in excess of such ownership limitation without waiver by Dialectic. On December 22, 2025, Dialectic provided notice to the Issuer of the waiver of such limitation, which will be effective February 21, 2026. F1 · shares: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F2 · shares: The Forbearance Warrant is subject to a 4.99% beneficial ownership limitation and cannot be exercised in excess of such ownership limitation without waiver by Dialectic. On December 22, 2025, Dialectic provided notice to the Issuer of the waiver of such limitation, which will be effective February 21, 2026. F1 · price: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F1 · derivative.exercise_date: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F1 · derivative.expiration_date: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F1 · derivative.underlying_shares: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F2 · derivative.underlying_shares: The Forbearance Warrant is subject to a 4.99% beneficial ownership limitation and cannot be exercised in excess of such ownership limitation without waiver by Dialectic. On December 22, 2025, Dialectic provided notice to the Issuer of the waiver of such limitation, which will be effective February 21, 2026. F1 · balance_after: On September 23, 2025 ("Issuance Date"), the Issuer issued to Dialectic Technology SPV LLC ("Dialectic") a warrant (the "Forbearance Warrant") to purchase 2,653,308 (as may be adjusted pursuant to the Forbearance Warrant) shares of common stock, par value $0.01 per share of the Issuer (the "Common Stock"), at an exercise price equal to $8.81 per share (as adjusted from time to time in accordance with the Forbearance Warrant) on or after the Issuance Date and until the date that is seven (7) years from the Issuance Date. F2 · balance_after: The Forbearance Warrant is subject to a 4.99% beneficial ownership limitation and cannot be exercised in excess of such ownership limitation without waiver by Dialectic. On December 22, 2025, Dialectic provided notice to the Issuer of the waiver of such limitation, which will be effective February 21, 2026. F3 · ownership.nature: These securities are held directly by Dialectic, a 10% holder of the Issuer, and indirectly by John Fichthorn. Mr. Fichthorn is the Manager of Dialectic Technology Manager LLC, the Manager of Dialectic. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any. Read SEC document |
| May 01, 2025 Filed May 5, 2025 21:18 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 4,405 | $0.00 | $0.00 |
DisclosureSEC source: 0000709283-25-000013 · wk-form4_1746479917.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,271 F1 · shares: Grant of restricted stock units (RSUs), each of which represents a contingent right to receive one share of common stock of QMCO, representing an amount prorated from the time of appointment to the first anniversary of the Company's last annual stockholder meeting. The RSUs vest in full on the earlier of May 1, 2026 or the date of the Company's next annual stockholder meeting, subject to continued service on the Company's Board of Directors. Read SEC document |
| August 12, 2021 Filed Aug 17, 2021 16:14 UTC Amendment | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 10,000 | $5.73 | $57,295.00 |
DisclosureSEC source: 0000709283-21-000048 · wf-form4a_162921685038853.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,740 Read SEC document |
| August 11, 2021 Filed Aug 17, 2021 00:01 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 10,000 | $5.73 | $57,295.00 |
DisclosureSEC source: 0000709283-21-000047 · wf-form4_162915845633735.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,740 F2 · price: 2.The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.72 to $5.73, inclusive. The reporting person undertakes to provide to Quantum Corporation, any security holder of Quantum Corporation or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (2) to this Form 4. Read SEC document |
| August 11, 2021 Filed Aug 17, 2021 00:01 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 20,000 | $5.67 | $113,342.00 |
DisclosureSEC source: 0000709283-21-000047 · wf-form4_162915845633735.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,740 F1 · price: 1.The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.605 to $5.720, inclusive. The reporting person undertakes to provide to Quantum Corporation, any security holder of Quantum Corporation or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| January 01, 2021 Filed Feb 2, 2021 20:53 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-002390 · ownership.xml · nonDerivative · entry 4 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 559,525 Read SEC document |
| January 01, 2021 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · nonDerivative · entry 5 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879,920 Read SEC document |
| December 31, 2020 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | ConversionConvertible Debenture - Conversion · Derivative | Not disclosed | $0.00 | $100,000.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · derivative · entry 9 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2020-12-31 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. F7 · derivative.exercise_price: Convertible Debenture disposition of both principal and interest F7 · derivative.underlying: Convertible Debenture disposition of both principal and interest F7 · derivative.underlying_shares: Convertible Debenture disposition of both principal and interest Read SEC document |
| December 31, 2020 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | ConversionCommon Stock | 320,395 | $0.33 | $105,730.35 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · nonDerivative · entry 4 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713,253 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. F5 · shares: Acquired as a result of Convertible Debenture conversion of both principal and interest, as agreed by shareholder and Issuer Read SEC document |
| December 17, 2020 Filed Dec 18, 2020 21:11 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 1,200 | $6.25 | $7,502.52 |
DisclosureSEC source: 0000709283-20-000043 · wf-form4_160832588064772.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Lightcurve Capital LLC Disclosed balance after: 20,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.23 to $6.28, inclusive. Read SEC document |
| December 16, 2020 Filed Dec 18, 2020 21:11 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | PurchaseCommon Stock | 18,800 | $6.18 | $116,210.32 |
DisclosureSEC source: 0000709283-20-000043 · wf-form4_160832588064772.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Lightcurve Capital LLC Disclosed balance after: 18,800 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.0889 to $6.289, inclusive. The reporting person undertakes to provide to Quantum Corporation, any security holder of Quantum Corporation or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 22:09 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 23,496 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 21, 2020 Filed Aug 25, 2020 19:10 UTC | Benefytt Technologies, Inc. BFYT · Entity 147002 | OtherClass A Common Stock | 109,362 | $31.00 | $3,390,222.00 |
DisclosureSEC source: 0001567619-20-015948 · doc1.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Dialectic Antithesis Partners, LP Disclosed balance after: 0 F1 · date: On August 21, 2020, Daylight Beta Corp., a Delaware corporation ("Purchaser") and a wholly owned subsidiary of Daylight Beta Parent Corp., a Delaware corporation ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Benefytt Technologies, Inc., a Delaware corporation (the "Issuer"), pursuant to that certain Agreement and Plan of Merger dated July 12, 2020 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on August 21, 2020, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned and indirect subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on August 21, 2020. F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. F3 · ownership.nature: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. Read SEC document |
| August 21, 2020 Filed Aug 25, 2020 19:10 UTC | Benefytt Technologies, Inc. BFYT · Entity 147002 | OtherClass A Common Stock | 17,809 | $31.00 | $552,079.00 |
DisclosureSEC source: 0001567619-20-015948 · doc1.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · date: On August 21, 2020, Daylight Beta Corp., a Delaware corporation ("Purchaser") and a wholly owned subsidiary of Daylight Beta Parent Corp., a Delaware corporation ("Parent"), successfully completed the tender offer ("Tender Offer") for all issued and outstanding shares of the common stock of Benefytt Technologies, Inc., a Delaware corporation (the "Issuer"), pursuant to that certain Agreement and Plan of Merger dated July 12, 2020 (the "Merger Agreement"), by and among Issuer, Parent and Purchaser. Following the Tender Offer, on August 21, 2020, Purchaser merged with and into Issuer with Issuer surviving the merger as a wholly owned and indirect subsidiary of Parent (the "Merger"). In connection with the Merger, the reporting person is no longer a director of Issuer, effective on August 21, 2020. F2 · kind: Represents shares tendered to the Purchaser in connection with the Tender Offer. Read SEC document |
| June 05, 2020 Filed Feb 2, 2021 20:53 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | GrantRestricted Stock Units · Derivative | 750,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-002390 · ownership.xml · derivative · entry 6 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires not disclosed F3 · shares: 250,000 vest on 12/31/20 subject to achievement of strategic goals to be set by the Board; 250,000 vest in 6 monthly installments beginning 1/1/2021; 125,000 vest on 12/31/20 if ABG good standing (meaning that between the Date of Grant and December 31, 2020, the Issuer remains at all times in good standing with Authentic Brands Group and its affiliates ("ABG"), with "good standing" with ABG being deemed so long as no litigation is or has been initiated, or is in the view of the Board of Directors of the Issuer, imminent, between the Company and ABG); and 125,000 vest upon successful completion of the listing of the Issuer's common stock on a national securities exchange, provided that either (i) such listing is complete on or before March 31, 2021 or (ii) the Company is current in its periodic filings with the Securities and Exchange Commission by December 31, 2020; F4 · derivative.exercise_date: No RSUs may vest or be exercised prior to both (i) the date on which the Issuer duly files an amendment to its certificate of incorporation to sufficiently increase its authorized common stock to permit the settlement in full of exercise of all convertible securities outstanding, and (ii) the date on which the Issuer's board of directors and stockholders have both duly approved an increase in the requisite number of shares of common stock available under the Plan sufficient to permit the immediate settlement in full of the RSUs. F4 · derivative.expiration_date: No RSUs may vest or be exercised prior to both (i) the date on which the Issuer duly files an amendment to its certificate of incorporation to sufficiently increase its authorized common stock to permit the settlement in full of exercise of all convertible securities outstanding, and (ii) the date on which the Issuer's board of directors and stockholders have both duly approved an increase in the requisite number of shares of common stock available under the Plan sufficient to permit the immediate settlement in full of the RSUs. Read SEC document |
| June 05, 2020 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | GrantRestricted Stock Units · Derivative | 750,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · derivative · entry 8 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires not disclosed F3 · shares: 250,000 vest on 12/31/20 subject to achievement of strategic goals to be set by the Board; 250,000 vest in 6 monthly installments beginning 1/1/2021; 125,000 vest on 12/31/20 if ABG good standing1(meaning that between the Date of Grant and December 31, 2020, the Issuer remains at all times in good standing with Authentic Brands Group and its affiliates ("ABG"), with "good standing" with ABG being deemed so long as no litigation is or has been initiated, or is in the view of the Board of Directors of the Issuer, imminent, between the Company and ABG); and 125,000 vest upon successful completion of the listing of the Issuer's common stock on a national securities exchange, provided that either (i) such listing is complete on or before March 31, 2021 or (ii) the Company is current in its periodic filings with the Securities and Exchange Commission by December 31, 2020; F4 · derivative.exercise_date: No RSUs may vest or be exercised prior to both (i) the date on which the Issuer duly files an amendment to its certificate of incorporation to sufficiently increase its authorized common stock to permit the settlement in full of exercise of all convertible securities outstanding, and (ii) the date on which the Issuer's board of directors and stockholders have both duly approved an increase in the requisite number of shares of common stock available under the Plan sufficient to permit the immediate settlement in full of the RSUs. F4 · derivative.expiration_date: No RSUs may vest or be exercised prior to both (i) the date on which the Issuer duly files an amendment to its certificate of incorporation to sufficiently increase its authorized common stock to permit the settlement in full of exercise of all convertible securities outstanding, and (ii) the date on which the Issuer's board of directors and stockholders have both duly approved an increase in the requisite number of shares of common stock available under the Plan sufficient to permit the immediate settlement in full of the RSUs. Read SEC document |
| May 12, 2020 Filed May 14, 2020 20:34 UTC | Benefytt Technologies, Inc. BFYT · Entity 147002 | GrantClass A Common Stock | 3,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-010122 · doc1.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,809 F1 · shares: These restricted shares were granted under the Issuer's Long Term Incentive Plan ("Plan") and are scheduled to vest 50% on May 12, 2021 and 50% on May 12, 2022, subject to the terms and conditions of the Plan and a Restricted Stock Award Agreement under the Plan. Read SEC document |
| February 06, 2020 Filed Feb 2, 2021 20:53 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-002390 · ownership.xml · nonDerivative · entry 3 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,858 Read SEC document |
| February 06, 2020 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · nonDerivative · entry 3 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,858 Read SEC document |
| December 03, 2019 Filed Dec 5, 2019 22:32 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | SaleCommon Stock | 969,900 | $5.25 | $5,091,975.00 |
DisclosureSEC source: 0000899243-19-028599 · doc4.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Dialectic Antithesis Partners, LP Disclosed balance after: 0 F1 · security: On December 3, 2019, Dialectic Antithesis Partners, LP crossed 969,900 shares of QMCO Common Stock to its affiliate, B. Riley Financial, Inc., its ultimate parent company. F2 · ownership.nature: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of QMCO's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC is a wholly owned subsidiary of B. Riley Financial, Inc., a publicly traded Delaware corporation (Nasdaq: RILY). B. Riley Financial, Inc. is the holder of the reported securities as a result of the reported transaction. Read SEC document |
| September 05, 2019 Filed Sep 9, 2019 20:35 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 20,833 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| September 05, 2019 Filed Sep 9, 2019 20:35 UTC | QUANTUM CORP /DE/ QMCO · Entity 4987 | GrantCommon Stock | 14,184 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| May 14, 2019 Filed May 16, 2019 22:02 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | GrantClass A Common Stock | 3,513 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-19-011448 · doc1.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,121 F1 · shares: These restricted shares were granted under the Issuer's Long Term Incentive Plan ("Plan") and are scheduled to vest 50% on May 14, 2020 and 50% on May 14, 2021, subject to the terms and conditions of the Plan and a Restricted Stock Award Agreement under the Plan. Read SEC document |
| April 10, 2019 Filed Feb 2, 2021 20:53 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | GrantOptions to purchase · Derivative | 967,280 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0001493152-21-002390 · ownership.xml · derivative · entry 5 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 967,280 Underlying: Common Stock · 967,280 shares Expires 2019-04-10 F1 · shares: Vesting is a combined overlay of Time-based, Stock-Price-based, and Stock-Listing-based conditions. Time-based vesting is 1/3 vest after 1 year, with the balance monthly over next 2 years. Stock-Price vesting is a potential downward adjustment to the otherwise Time-based vested shares, where such adjustment is based on the rolling 45-day Volume Weighted Average Price set against specific price targets. Stock Listing vesting means that no otherwise Time-based and Stock Price-based vested shares are actually deemed as vested unless the Issuer's common stock is listed on a national securities exchange registered with the Securities and Exchange Commission under Section 6 of the Securities Exchange Act of 1934. F2 · derivative.exercise_date: The ability to exercise is subject to both: i) vesting conditions (1) and ii) the Issuer's Board of Directors approving a requisite increase in authorized shares of common stock, after the date the grant was issued, that would apply to this grant Read SEC document |
| April 10, 2019 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | GrantOptions to purchase · Derivative | 967,280 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · derivative · entry 7 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 967,280 Underlying: Common Stock · 967,280 shares Expires 2019-04-10 F1 · shares: Vesting is a combined overlay of Time-based, Stock-Price-based, and Stock-Listing-based conditions. Time-based vesting is 1/3 vest after 1 year, with the balance monthly over next 2 years. Stock-Price vesting is a potential downward adjustment to the otherwise Time-based vested shares, where such adjustment is based on the rolling 45-day Volume Weighted Average Price set against specific price targets. Stock Listing vesting means that no otherwise Time-based and Stock Price-based vested shares are actually deemed as vested unless the Issuer's common stock is listed on a national securities exchange registered with the Securities and Exchange Commission under Section 6 of the Securities Exchange Act of 1934. F2 · derivative.exercise_date: The ability to exercise is subject to both: i) vesting conditions (1) and ii) the Issuer's Board of Directors approving a requisite increase in authorized shares of common stock, after the date the grant was issued, that would apply to this grant Read SEC document |
| March 20, 2019 Filed Mar 20, 2019 20:42 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | PurchaseCommon Stock | 90,742 | $29.27 | $2,655,664.45 |
DisclosureSEC source: 0001567619-19-007312 · doc1.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by BRC Partners Opportunity Fund, LP Disclosed balance after: 173,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $28.905 to 29.63, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F2 · ownership.nature: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. B. Riley Capital Management, LLC is the investment manager of BRC Partners Opportunity Fund, LP (the "BRC Opportunity Fund") and, as such, shares voting and dispositive power over the securities held by the BRC Opportunity Fund. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC are wholly owned subsidiaries of B. Riley Financial, Inc., a publicly traded Delaware corporation (NasdaqCM: RILY). Read SEC document |
| March 20, 2019 Filed Mar 20, 2019 20:42 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | PurchaseCommon Stock | 3,000 | $29.84 | $89,512.80 |
DisclosureSEC source: 0001567619-19-007312 · doc1.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,608 Read SEC document |
| March 18, 2019 Filed Mar 20, 2019 20:30 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | Purchase12% Convertible Debenture · Derivative | Not disclosed | $100,000.00 Strike: $0.40 | $100,000.00 |
DisclosureSEC source: 0001144204-19-015141 · tv516704_4.xml · derivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 250,000 shares Expires 2020-12-31 Read SEC document |
| March 18, 2019 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | GrantConvertible Debenture - Acquisition · Derivative | Not disclosed | $0.00 | $100,000.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · derivative · entry 6 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2020-12-31 F6 · derivative.exercise_price: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020 F6 · derivative.underlying: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020 F6 · derivative.underlying_shares: Convertible Debenture acquisition with principal value of $100,000, with a $0.33 conversion price and a maturity date of 12/31/2020 Read SEC document |
| January 01, 2019 Filed Feb 2, 2021 20:53 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 208,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-002390 · ownership.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,858 Read SEC document |
| January 01, 2019 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 208,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,858 Read SEC document |
| September 01, 2018 Filed Feb 2, 2021 20:53 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 59,525 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-002390 · ownership.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,525 Read SEC document |
| September 01, 2018 Filed Feb 17, 2021 18:56 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | GrantCommon Stock | 59,525 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-004136 · ownership.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,525 Read SEC document |
| June 19, 2018 Filed Jun 18, 2018 21:36 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | PurchaseCommon Stock | 11,162 | $33.95 | $378,918.65 |
DisclosureSEC source: 0001140361-18-029017 · doc1.xml · nonDerivative · entry 4 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Dialectic Antithesis Partners, LP Disclosed balance after: 109,362 F1 · kind: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F1 · shares: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F6 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $33.8233 to $34.2261, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. F3 · ownership.nature: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. B. Riley Capital Management, LLC is the investment manager of BRC Partners Opportunity Fund, LP (the "BRC Opportunity Fund") and, as such, shares voting and dispositive power over the securities held by the BRC Opportunity Fund. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC are wholly owned subsidiaries of B. Riley Financial, Inc., a publicly traded Delaware corporation (NasdaqCM: RILY). Read SEC document |
| June 19, 2018 Filed Jun 18, 2018 21:36 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | SaleCommon Stock | 27,223 | $33.95 | $924,144.63 |
DisclosureSEC source: 0001140361-18-029017 · doc1.xml · nonDerivative · entry 3 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Dialectic Antithesis Partners, LP Disclosed balance after: 98,200 F1 · kind: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F1 · shares: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F5 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $33.778 to $34.2241, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F3 · ownership.nature: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. B. Riley Capital Management, LLC is the investment manager of BRC Partners Opportunity Fund, LP (the "BRC Opportunity Fund") and, as such, shares voting and dispositive power over the securities held by the BRC Opportunity Fund. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC are wholly owned subsidiaries of B. Riley Financial, Inc., a publicly traded Delaware corporation (NasdaqCM: RILY). Read SEC document |
| June 18, 2018 Filed Jun 18, 2018 21:36 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | SaleCommon Stock | 67,163 | $34.40 | $2,310,622.12 |
DisclosureSEC source: 0001140361-18-029017 · doc1.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Dialectic Antithesis Partners, LP Disclosed balance after: 125,423 F1 · kind: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F1 · shares: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $34.1227 to $34.6669, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F3 · ownership.nature: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. B. Riley Capital Management, LLC is the investment manager of BRC Partners Opportunity Fund, LP (the "BRC Opportunity Fund") and, as such, shares voting and dispositive power over the securities held by the BRC Opportunity Fund. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC are wholly owned subsidiaries of B. Riley Financial, Inc., a publicly traded Delaware corporation (NasdaqCM: RILY). Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:36 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | SaleCommon Stock | 18,414 | $34.98 | $644,038.86 |
DisclosureSEC source: 0001140361-18-029017 · doc1.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Dialectic Antithesis Partners, LP Disclosed balance after: 192,586 F1 · kind: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F1 · shares: Represents transactions to rebalance the assets in a fund for which the Reporting Person is a portfolio manager. Reporting Person disclaims beneficial ownership of the Issuer's securities held by the fund except to the extent of a small pecuniary interest held by the Reporting Person in the fund. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $34.725 to $35.1551, inclusive. The Reporting Person undertakes to provide Health Insurance Innovations, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. F3 · ownership.nature: BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. B. Riley Capital Management, LLC is the investment manager of BRC Partners Opportunity Fund, LP (the "BRC Opportunity Fund") and, as such, shares voting and dispositive power over the securities held by the BRC Opportunity Fund. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC are wholly owned subsidiaries of B. Riley Financial, Inc., a publicly traded Delaware corporation (NasdaqCM: RILY). Read SEC document |
| May 15, 2018 Filed May 17, 2018 20:40 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | GrantCommon Stock | 2,608 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-024443 · doc1.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,608 F1 · shares: These restricted shares were granted under the Issuer's Long Term Incentive Plan ("Plan"), as amended, and are scheduled to vest 50% on May 15, 2019 and 50% on May 15, 2020, subject to the terms and conditions of the Plan and a Restricted Stock Award Agreement under the Plan. F1 · balance_after: These restricted shares were granted under the Issuer's Long Term Incentive Plan ("Plan"), as amended, and are scheduled to vest 50% on May 15, 2019 and 50% on May 15, 2020, subject to the terms and conditions of the Plan and a Restricted Stock Award Agreement under the Plan. Read SEC document |
| May 04, 2018 Filed May 8, 2018 20:41 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | PurchaseCommon Stock | 2,000 | $26.64 | $53,288.20 |
DisclosureSEC source: 0001140361-18-022231 · doc1.xml · nonDerivative · entry 2 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| May 04, 2018 Filed May 8, 2018 20:41 UTC | Benefytt Technologies, Inc. HIIQ · Entity 147002 | PurchaseCommon Stock | 3,000 | $26.65 | $79,935.00 |
DisclosureSEC source: 0001140361-18-022231 · doc1.xml · nonDerivative · entry 1 FICHTHORN JOHN · CIK 0001411509 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 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.