Lerner James J

SEC source: 0000709283-25-000009 · wk-form4_1745442851.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,848

F1 · shares: Represents the number of shares automatically sold on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance-based stock units granted on July 1, 2022.

F2 · price: Represents a weighted average price. These shares were sold as part of block trades for multiple security holders of the issuer on April 21, 2025, at a price ranging from $9.6144 to $9.67. The reporting person undertakes to provide upon request by the Securities and Exchange Commission, the issuer, or a securityholder of the issuer detailed information regarding the number of shares sold and the prices at which the transactions were executed.

SEC source: 0000709283-25-000009 · wk-form4_1745442851.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,632

SEC source: 0000950170-25-006931 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,804

F1 · shares: Represents the number of shares automatically sold on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units granted on January 1, 2024.

SEC source: 0000709283-24-000048 · wk-form4_1733433298.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,491

F1 · shares: Represents the number of shares automatically sold on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units granted on October 1, 2021 and July 1, 2022.

SEC source: 0000950170-25-006915 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,315

F1 · shares: This amendment to the original Form 4 filed on December 5, 2024 is being filed to correct the amount of shares sold, to cover tax withholding obligations in connection with the vesting of restricted stock units.

F2 · balance_after: As a result of this error, the number of shares reported as beneficially owned by the reporting person following the corrected transaction reflects an increase in the number of shares reported as beneficially owned in the original Form 4.

SEC source: 0000709283-24-000033 · wk-form4_1729545448.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,923,658

F1 · shares: (1) Grant of Restricted Stock Units (RSUs), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on October 1, 2025, October 1, 2026 and October 1, 2027. Delayed filing arose from an error related to effecting the reverse stock split within QMCOs stock plan administration platform and the resulting delay of the distribution of the equity award agreement to reporting person. Reporting person has elected to continue to use the grant date for the reported transaction date notwithstanding the delayed distribution of the equity award agreement.

SEC source: 0000709283-24-000010 · wk-form4_1713907648.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,904,908

F1 · security: Granted as annual refresh grant shares. Grant of Restricted Stock Units (RSUs), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on January 1, 2025, January 1, 2026 and January 1, 2027. Delayed filing arose from an administrative error related to implementing and configuring QMCO's new stock plan administration platform.

SEC source: 0000709283-23-000053 · wk-form4_1697147001.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,704,908

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units granted on October 1, 2021.

SEC source: 0000709283-23-000023 · wk-form4_1689193712.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,740,953

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units and performance-based stock units granted on July 1, 2020, and restricted stock units on July 1, 2022.

F2 · balance_after: Includes 5,035 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 3, 2023.

SEC source: 0000709283-22-000046 · wf-form4_166561640573594.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,894,811

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units granted on October 1, 2021.

SEC source: 0000709283-22-000039 · wf-form4_166302930895998.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,927,699

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance-based stock units granted on September 6, 2019.

F2 · balance_after: Includes 957 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on August 5, 2022.

SEC source: 0000709283-22-000031 · wf-form4_165826055887802.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,962,993

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

SEC source: 0000709283-22-000027 · wf-form4_165714492133644.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 116,550 shares

Expires 2027-07-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified level of the average closing price of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2022 and July 1, 2027. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which will occur 36 months from the grant date on July 1, 2025.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified level of the average closing price of a share of QMCO common stock during any one hundred (100) calendar day period occurring between July 1, 2022 and July 1, 2027. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which will occur 36 months from the grant date on July 1, 2025.

SEC source: 0000709283-22-000027 · wf-form4_165714492133644.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,025,145

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on July 1, 2023, July 1, 2024 and July 1, 2025.

SEC source: 0000709283-22-000011 · wf-form4_165101749726353.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,445 shares

Expires 2022-04-18

F1 · kind: Exercise of irrevocable subscription rights to acquire shares of common stock at the closing of the Issuer's rights offering on April 22, 2022.

SEC source: 0000709283-22-000011 · wf-form4_165101749726353.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,675,145

F1 · kind: Exercise of irrevocable subscription rights to acquire shares of common stock at the closing of the Issuer's rights offering on April 22, 2022.

F2 · balance_after: Includes 3,044 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 4, 2022.

SEC source: 0000709283-22-000001 · wf-form4_164185631228254.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,667,656

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

SEC source: 0000709283-21-000064 · wf-form4_163346689802612.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2026-10-01

F2 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between October 1, 2021 and October 1, 2026. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in three installments on October 1, 2022, October 1, 2023 and October 1, 2024.

F2 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any one hundred (100) calendar day period occurring between October 1, 2021 and October 1, 2026. Vesting is subject to continued employment with QMCO through the later of the achievement date or service vesting date, which occurs in three installments on October 1, 2022, October 1, 2023 and October 1, 2024.

SEC source: 0000709283-21-000064 · wf-form4_163346689802612.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,707,326

F1 · security: Grant of Restricted Stock Units ("RSUs"), each of which represents a contingent right to receive one share of common stock of QMCO. Vesting is subject to continued employment with QMCO through the service vesting date, which occurs in three equal annual installments on October 1, 2022, October 1, 2023 and October 1, 2024.

SEC source: 0000709283-21-000059 · wf-form4_163156655777594.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,507,326

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance-based stock units granted on September 6, 2019.

F2 · balance_after: Includes 3,105 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on August 5, 2021.

SEC source: 0000709283-21-000037 · wf-form4_162698192709428.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,545,233

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units and performance-based stock units granted on July 1, 2018.

SEC source: 0000709283-21-000035 · wf-form4_162646291750227.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,677,358

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

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · derivative · entry 4

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2025-07-01

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

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · derivative · entry 3

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2029-09-06

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

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · nonDerivative · entry 2

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,742,918

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

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on May 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2023, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F3 · security: Grant of Performance-Based Restricted Stock Units ("PSUs"), each of which represents a contingent right to receive one share of common stock of QMCO, acquired with vesting subject to the achievement of specified performance-based conditions, occurred on May 11, 2021 as certified by the leadership and compensation committee of QMCO, resulting in 120,000 units for the Free Cash Flow results based on the Company's performance as of March 31, 2021 (end of QMCO's Fiscal 2021 Year). 100% of PSUs are earned as 100% of the free cash flow target performance goal is achieved. However, these shares remain subject to time-based vesting conditions and will therefore vest in equal installments with 1/3rd July 1, 2021, 1/3rd July 1, 2022 and 1/3rd July 1, 2023, subject to continued employment.

SEC source: 0000709283-21-000020 · wf-form4_162142890030822.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,622,918

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The third achievement date occurred on May 11, 2021, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2022, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000006 · wf-form4_161584260271901.xml · derivative · entry 3

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2025-07-01

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

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000006 · wf-form4_161584260271901.xml · derivative · entry 2

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2029-09-06

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

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000709283-21-000006 · wf-form4_161584260271901.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,462,918

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

F1 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The second achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2021, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F2 · security: Performance-Based Restricted Stock Units were previously reported on July 2, 2020, which vest in two equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 11, 2021, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on January 1, 2022, subject to continued employment. These shares are reflected on Table I, and 80,000 units remaining subject to these performance-based and time-based vesting conditions.

F3 · balance_after: Includes 2,711 shares acquired under Quantum Corporation's Employee Stock Purchase Plan on February 5, 2021.

SEC source: 0000709283-20-000046 · wf-form4_160937572590854.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,300,207

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on September 6, 2019.

F2 · price: This is the price of the shares sold, $5.6326 per share. Upon request by the Commission staff, Quantum Corporation, or a security holder of Quantum Corporation, the Reporting Person will provide full information regarding the number of shares sold at this price as set forth in this Form 4.

SEC source: 0000709283-20-000033 · wf-form4_159968195621698.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,335,276

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of performance stock units granted on July 1, 2018.

SEC source: 0000709283-20-000027 · wf-form4_159906923839352.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,403,110

F1 · shares: Represents the number of shares automatically sold, on a non-discretionary basis, to cover tax withholding obligations in connection with the vesting of restricted stock units granted on July 1, 2018.

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

SEC source: 0000709283-20-000016 · wf-form4_159372168304769.xml · derivative · entry 2

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 160,000 shares

Expires 2025-07-01

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

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

SEC source: 0000709283-20-000016 · wf-form4_159372168304769.xml · nonDerivative · entry 1

Lerner James J · CIK 0001602567 · Director · Pres. & CEO, Chairman of Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,440,000

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 80,000 shares

Expires 2029-09-06

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

F2 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2020, subject to continued employment. These shares are reflected on Table I, and 160,000 units remaining subject to these performance-based and time-based vesting conditions.

F2 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2020, subject to continued employment. These shares are reflected on Table I, and 160,000 units remaining subject to these performance-based and time-based vesting conditions.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2022-07-01

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

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on August 27, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between July 1, 2018 and June 30, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2021, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on August 27, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between July 1, 2018 and June 30, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2021, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

SEC source: 0001628280-20-003830 · wf-form4_158465025570001.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,160,000

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

F1 · security: Performance-Based Restricted Stock Units were previously reported on August 27, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between July 1, 2018 and June 30, 2022, and upon specified service dates, whichever is later. The third achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2021, subject to continued employment. These shares are reflected on Table I, and no units remain that are subject to these performance-based and time-based vesting conditions.

F2 · security: Performance-Based Restricted Stock Units were previously reported on September 10, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) calendar day period, and upon specified service dates, whichever is later. The first achievement date occurred on March 17, 2020, as certified by the leadership and compensation committee of QMCO, resulting in 80,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on September 5, 2020, subject to continued employment. These shares are reflected on Table I, and 160,000 units remaining subject to these performance-based and time-based vesting conditions.

SEC source: 0000899243-19-027357 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-11-13

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

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units were previously reported on August 27, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The second achievement date occurred on November 13,2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2020, subject to continued employment. These shares are reflected on Table I, and 150,000 units remaining subject to performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units were previously reported on August 27, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The second achievement date occurred on November 13,2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2020, subject to continued employment. These shares are reflected on Table I, and 150,000 units remaining subject to performance-based and time-based vesting conditions.

SEC source: 0000899243-19-027357 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 930,000

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

F1 · security: Performance-Based Restricted Stock Units were previously reported on August 27, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The second achievement date occurred on November 13,2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units meeting the appropriate performance-based conditions. However, these shares remain subject to time-based vesting conditions and will therefore vest on July 1, 2020, subject to continued employment. These shares are reflected on Table I, and 150,000 units remaining subject to performance-based and time-based vesting conditions.

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

Lerner James J · CIK 0001602567 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 150,000 shares

Expires 2029-10-02

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

F1 · derivative.exercise_price: Performance-Based Restricted Stock Units that were previously reported on August 23, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units vesting, as reflected on Table I, and 300,000 units remaining subject to performance-based and time-based vesting conditions.

F1 · derivative.exercise_date: Performance-Based Restricted Stock Units that were previously reported on August 23, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units vesting, as reflected on Table I, and 300,000 units remaining subject to performance-based and time-based vesting conditions.

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

Lerner James J · CIK 0001602567 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 780,000

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

F1 · security: Performance-Based Restricted Stock Units that were previously reported on August 23, 2019, which vest in three equal components upon the later of achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period between June 1, 2018 and May 31, 2022, and upon specified service dates, whichever is later. The first achievement date occurred on October 2, 2019, as certified by the leadership and compensation committee of QMCO, resulting in 150,000 units vesting, as reflected on Table I, and 300,000 units remaining subject to performance-based and time-based vesting conditions.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2029-09-06

F1 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

F1 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any hundred (100) day trading period. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on September 5, 2020, September 5, 2021 and September 5, 2022.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2029-08-23

F3 · derivative.exercise_price: Grant of Performance-Based Restricted Stock Units, each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period on a National Exchange occurring between July 1, 2018 and June 30, 2022. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on August 23, 2019, July 1, 2020 and July 1, 2021.

F3 · derivative.exercise_date: Grant of Performance-Based Restricted Stock Units, each of which represents a contingent right to receive one share of common stock of QMCO, with vesting subject to the achievement of specified levels of the average closing prices of a share of QMCO common stock during any sixty (60) day trading period on a National Exchange occurring between July 1, 2018 and June 30, 2022. Vesting is subject to continued employment with the Company through the later of the achievement date or service vesting date, which occurs in three equal annual installments on August 23, 2019, July 1, 2020 and July 1, 2021.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,000

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000