QUANTUM CORP /DE/ — Major Shareholding Notification 2020

Mar 11, 2020

SC 13D/A 1 sc13da1310114016_03112020.htm AMENDMENT NO. 13 TO THE SCHEDULE 13D

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

(Rule 13d-101)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO

§ 240.13d-2(a)

(Amendment No. 13) 1

Quantum Corporation

(Name of Issuer)

Common Stock, $.01 par value per share

(Title of Class of Securities)

747906501

(CUSIP Number)

ERIC SINGER

VIEX CAPITAL ADVISORS, LLC

745 Boylston Street, 3 rd Floor

Boston, Massachusetts 02116

STEVE WOLOSKY, ESQ.

ELIZABETH GONZALEZ-SUSSMAN, ESQ.

OLSHAN FROME WOLOSKY LLP

1325 Avenue of the Americas

New York, New York 10019

(212) 451-2300

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

March 9, 2020

(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box ¨ .

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.

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1 The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes ).

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CUSIP No. 747906501

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	NAME OF REPORTING PERSON
	VIEX Opportunities Fund, LP – Series One*
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) ☐
		(b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS
	WC
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)	☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	DELAWARE
NUMBER OF	7	SOLE VOTING POWER
SHARES
BENEFICIALLY		- 0 -
OWNED BY	8	SHARED VOTING POWER
EACH
REPORTING		391,924
PERSON WITH	9	SOLE DISPOSITIVE POWER
		- 0 -
	10	SHARED DISPOSITIVE POWER
		391,924
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	391,924
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES	☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	Less than 1%
14	TYPE OF REPORTING PERSON
	PN

• This Series One is part of a series of VIEX Opportunities Fund, LP, a Delaware series limited partnership.

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	NAME OF REPORTING PERSON
	VIEX Opportunities Fund, LP – Series Two*
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) ☐
		(b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS
	WC
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)	☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	DELAWARE
NUMBER OF	7	SOLE VOTING POWER
SHARES
BENEFICIALLY		- 0 -
OWNED BY	8	SHARED VOTING POWER
EACH
REPORTING		95,743
PERSON WITH	9	SOLE DISPOSITIVE POWER
		- 0 -
	10	SHARED DISPOSITIVE POWER
		95,743
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	95,743
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES	☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	Less than 1%
14	TYPE OF REPORTING PERSON
	PN

• This Series Two is part of a series of VIEX Opportunities Fund, LP, a Delaware series limited partnership.

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	NAME OF REPORTING PERSON
	VIEX Special Opportunities Fund III, LP
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) ☐
		(b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS
	WC
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)	☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	DELAWARE
NUMBER OF	7	SOLE VOTING POWER
SHARES
BENEFICIALLY		- 0 -
OWNED BY	8	SHARED VOTING POWER
EACH
REPORTING		1,402,927
PERSON WITH	9	SOLE DISPOSITIVE POWER
		- 0 -
	10	SHARED DISPOSITIVE POWER
		1,402,927
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	1,402,927
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES	☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	3.5%
14	TYPE OF REPORTING PERSON
	PN

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	NAME OF REPORTING PERSON
	VIEX GP, LLC
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) ☐
		(b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS
	AF
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)	☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	DELAWARE
NUMBER OF	7	SOLE VOTING POWER
SHARES
BENEFICIALLY		- 0 -
OWNED BY	8	SHARED VOTING POWER
EACH
REPORTING		487,667
PERSON WITH	9	SOLE DISPOSITIVE POWER
		- 0 -
	10	SHARED DISPOSITIVE POWER
		487,667
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	487,667
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES	☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	1.2%
14	TYPE OF REPORTING PERSON
	OO

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	NAME OF REPORTING PERSON
	VIEX Special Opportunities GP III, LLC
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) ☐
		(b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS
	AF
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)	☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	DELAWARE
NUMBER OF	7	SOLE VOTING POWER
SHARES
BENEFICIALLY		- 0 -
OWNED BY	8	SHARED VOTING POWER
EACH
REPORTING		1,402,927
PERSON WITH	9	SOLE DISPOSITIVE POWER
		- 0 -
	10	SHARED DISPOSITIVE POWER
		1,402,927
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	1,402,927
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES	☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	3.5%
14	TYPE OF REPORTING PERSON
	OO

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	NAME OF REPORTING PERSON
	VIEX Capital Advisors, LLC
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) ☐
		(b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS
	AF
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)	☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	DELAWARE
NUMBER OF	7	SOLE VOTING POWER
SHARES
BENEFICIALLY		- 0 -
OWNED BY	8	SHARED VOTING POWER
EACH
REPORTING		1,890,594
PERSON WITH	9	SOLE DISPOSITIVE POWER
		- 0 -
	10	SHARED DISPOSITIVE POWER
		1,890,594
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	1,890,594
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES	☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	4.7%
14	TYPE OF REPORTING PERSON
	IA

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	NAME OF REPORTING PERSON
	Eric Singer
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP	(a) ☐
		(b) ☐
3	SEC USE ONLY
4	SOURCE OF FUNDS
	AF
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)	☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	USA
NUMBER OF	7	SOLE VOTING POWER
SHARES
BENEFICIALLY		66,681
OWNED BY	8	SHARED VOTING POWER
EACH
REPORTING		1,890,594
PERSON WITH	9	SOLE DISPOSITIVE POWER
		66,681
	10	SHARED DISPOSITIVE POWER
		1,890,594
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	1,957,275
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES	☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	4.9%
14	TYPE OF REPORTING PERSON
	IN

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The following constitutes Amendment No. 13 to the Schedule 13D filed by the undersigned (the “Amendment No. 13”). This Amendment No. 13 amends the Schedule 13D as specifically set forth herein.

Item 3. Source and Amount of Funds or Other Consideration .

Item 3 is hereby amended and restated to read as follows:

The Shares purchased by Series One were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted, as set forth in Schedule A, which is incorporated by reference herein. The aggregate purchase price of the 391,924 Shares beneficially owned by Series One is approximately $2,163,420, including brokerage commissions.

The Shares purchased by Series Two were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted, as set forth in Schedule A, which is incorporated by reference herein. The aggregate purchase price of the 95,743 Shares beneficially owned by Series Two is approximately $523,714, including brokerage commissions.

The Shares purchased by VSO III were purchased with working capital (which may, at any given time, include margin loans made by brokerage firms in the ordinary course of business) in open market purchases, except as otherwise noted, as set forth in Schedule A, which is incorporated by reference herein. The aggregate purchase price of the 1,402,927 Shares beneficially owned by VSO III is approximately $6,705,991, including brokerage commissions.

The 66,681 Shares owned directly by Mr. Singer were awarded to him in his capacity as a director of the Issuer.

Item 5. Interest in Securities of the Issuer .

Items 5(a)-(c) and (e) are hereby amended and restated to read as follows:

The aggregate percentage of Shares reported owned by each Reporting Person is based upon 39,858,691 Shares outstanding, which is the total number of Shares outstanding as of January 27, 2020, as reported in the Issuer’s Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission on January 29, 2020.

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A. Series One

(a) As of the close of business on March 11, 2020, Series One beneficially owned 391,924 Shares.

Percentage: Less than 1%

(b) 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 391,924 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 391,924

(c) The transactions in the Shares by Series One during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

B. Series Two

(a) As of the close of business on March 11, 2020, Series Two beneficially owned 95,743 Shares.

Percentage: Less than 1%

(b) 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 95,743 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 95,743

(c) The transactions in the Shares by Series Two during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

C. VSO III

(a) As of the close of business on March 11, 2020, VSO III beneficially owned 1,402,927 Shares.

Percentage: Approximately 3.5%

(b) 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 1,402,927 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 1,402,927

(c) The transactions in the Shares by VSO III during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

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D. VIEX GP

(a) VIEX GP, as the general partner of Series One and Series Two, may be deemed the beneficial owner of the (i) 391,924 Shares owned by Series One and (ii) 95,743 Shares owned by Series Two.

Percentage: Approximately 1.2%

(b) 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 487,667 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 487,667

(c) VIEX GP has not entered into any transactions in the Shares during the past sixty days. The transactions in the Shares on behalf of each of Series One and Series Two during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

E. VSO GP III

(a) VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the 1,402,927 Shares owned by VSO III.

Percentage: Approximately 3.5%

(b) 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 1,402,927 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 1,402,927

(c) VSO GP III has not entered into any transactions in the Shares during the past sixty days. The transactions in the Shares on behalf of VSO III during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

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F. VIEX Capital

(a) VIEX Capital, as the investment manager of Series One, Series Two and VSO III, may be deemed the beneficial owner of the (i) 391,924 Shares owned by Series One, (ii) 95,743 Shares owned by Series Two and (iii) 1,402,927 owned by VSO III.

Percentage: Approximately 4.7%

(b) 1. Sole power to vote or direct vote: 0 2. Shared power to vote or direct vote: 1,890,594 3. Sole power to dispose or direct the disposition: 0 4. Shared power to dispose or direct the disposition: 1,890,594

(c) VIEX Capital has not entered into any transactions in the Shares during the past sixty days. The transactions in the Shares on behalf of each of Series One, Series Two and VSO III during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

G. Eric Singer

(a) As of the close of business on March 11, 2020, Mr. Singer beneficially owned 66,681 Shares. Mr. Singer, as the managing member of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the (i) 391,924 Shares owned by Series One, (ii) 95,743 Shares owned by Series Two and (iii) 1,402,927 owned by VSO III.

Percentage: Approximately 4.9%

(b) 1. Sole power to vote or direct vote: 66,681 2. Shared power to vote or direct vote: 1,890,594 3. Sole power to dispose or direct the disposition: 66,681 4. Shared power to dispose or direct the disposition: 1,890,594

(c) Mr. Singer has not entered into any transactions in the Shares during the past sixty days. The transactions in the Shares on behalf of each of Series One, Series Two and VSO III during the past sixty days are set forth in Schedule A and are incorporated herein by reference.

The filing of this Schedule 13D shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, the beneficial owners of any securities of the Issuer that he or it does not directly own. Each of the Reporting Persons specifically disclaims beneficial ownership of the securities reported herein that he or it does not directly own.

(e) As of March 11, 2020, the Reporting Persons ceased to beneficially own 5% or more of the Issuer’s outstanding Shares.

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SIGNATURES

After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: March 11, 2020

VIEX Opportunities Fund, LP – Series One — By:	VIEX GP, LLC General Partner
By:	/s/ Eric Singer
	Name:	Eric Singer
	Title:	Managing Member

VIEX Opportunities Fund, LP – Series Two — By:	VIEX GP, LLC General Partner
By:	/s/ Eric Singer
	Name:	Eric Singer
	Title:	Managing Member

/s/ Eric Singer
Name:	Eric Singer
Title:	Managing Member

VIEX Special Opportunities Fund III, LP — By:	VIEX Special Opportunities GP III, LLC General Partner
By:	/s/ Eric Singer
	Name:	Eric Singer
	Title:	Managing Member

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/s/ Eric Singer
Name:	Eric Singer
Title:	Managing Member

/s/ Eric Singer
Name:	Eric Singer
Title:	Managing Member

/s/ Eric Singer
Eric Singer

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SCHEDULE A

Transactions in the Shares during the past sixty days

Nature of the Transaction Securities Purchased/(Sold) Price Per Share($) Date of Purchase / Sale

VIEX OPPORTUNITIES FUND, LP – Series ONe

Sale of Common Stock	(3,089)	6.7250	02/03/2020
Sale of Common Stock	(20,310)	6.6604	02/04/2020
Sale of Common Stock	(5,348)	6.6567	02/05/2020
Sale of Common Stock	(4,664)	6.6140	02/06/2020
Sale of Common Stock	(5,281)	6.6121	02/06/2020
Sale of Common Stock	(5,734)	6.5138	02/07/2020
Sale of Common Stock	(7,933)	6.5567	02/10/2020
Sale of Common Stock	(10,876)	6.3528	02/11/2020
Sale of Common Stock	(906)	6.4541	02/12/2020
Sale of Common Stock	(3,109)	6.0800	02/13/2020
Sale of Common Stock	(1,907)	6.0373	02/14/2020
Sale of Common Stock	(373)	5.6461	02/18/2020
Sale of Common Stock	(4,763)	5.4717	02/19/2020
Sale of Common Stock	(2,765)	5.7131	02/20/2020
Sale of Common Stock	(435)	5.0602	02/26/2020
Sale of Common Stock	(2,073)	4.9500	02/26/2020
Sale of Common Stock	(1,037)	4.9674	02/27/2020
Sale of Common Stock	(8,375)	5.2711	02/28/2020
Sale of Common Stock	(11,128)	5.3525	03/02/2020
Sale of Common Stock	(6,329)	5.3384	03/03/2020
Sale of Common Stock	(2,269)	4.7328	03/06/2020
Sale of Common Stock	(12,180)	3.9652	03/09/2020
Sale of Common Stock	(20,730)	3.9503	03/09/2020
Sale of Common Stock	(25,172)	4.0213	03/10/2020
Sale of Common Stock	(55,971)	3.7593	03/10/2020
Sale of Common Stock	(36,555)	3.4000	03/11/2020

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VIEX opportunities fund, lp – series Two

Sale of Common Stock	(754)	6.7250	02/03/2020
Sale of Common Stock	(4,961)	6.6604	02/04/2020
Sale of Common Stock	(1,307)	6.6567	02/05/2020
Sale of Common Stock	(1,139)	6.6140	02/06/2020
Sale of Common Stock	(1,290)	6.6121	02/06/2020
Sale of Common Stock	(1,401)	6.5138	02/07/2020
Sale of Common Stock	(1,938)	6.5567	02/10/2020
Sale of Common Stock	(2,657)	6.3528	02/11/2020
Sale of Common Stock	(221)	6.4541	02/12/2020
Sale of Common Stock	(760)	6.0800	02/13/2020
Sale of Common Stock	(466)	6.0373	02/14/2020
Sale of Common Stock	(91)	5.6461	02/18/2020
Sale of Common Stock	(1,164)	5.4717	02/19/2020
Sale of Common Stock	(675)	5.7131	02/20/2020
Sale of Common Stock	(106)	5.0602	02/26/2020
Sale of Common Stock	(506)	4.9500	02/26/2020
Sale of Common Stock	(253)	4.9674	02/27/2020
Sale of Common Stock	(2,046)	5.2711	02/28/2020
Sale of Common Stock	(2,718)	5.3525	03/02/2020
Sale of Common Stock	(1,546)	5.3384	03/03/2020
Sale of Common Stock	(2,975)	3.9652	03/09/2020
Sale of Common Stock	(5,063)	3.9503	03/09/2020
Sale of Common Stock	(6,144)	4.0213	03/10/2020
Sale of Common Stock	(13,662)	3.7593	03/10/2020
Sale of Common Stock	(8,929)	3.4000	03/11/2020

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VIEX special opportunities fund iIi, LP

Sale of Common Stock	(11,057)	6.7250	02/03/2020
Sale of Common Stock	(72,701)	6.6604	02/04/2020
Sale of Common Stock	(19,145)	6.6567	02/05/2020
Sale of Common Stock	(16,697)	6.6140	02/06/2020
Sale of Common Stock	(18,906)	6.6121	02/06/2020
Sale of Common Stock	(20,527)	6.5138	02/07/2020
Sale of Common Stock	(28,398)	6.5567	02/10/2020
Sale of Common Stock	(38,934)	6.3528	02/11/2020
Sale of Common Stock	(3,241)	6.4541	02/12/2020
Sale of Common Stock	(11,131)	6.0800	02/13/2020
Sale of Common Stock	(6,827)	6.0373	02/14/2020
Sale of Common Stock	(1,336)	5.6461	02/18/2020
Sale of Common Stock	(17,051)	5.4717	02/19/2020
Sale of Common Stock	(9,896)	5.7131	02/20/2020
Sale of Common Stock	(1,559)	5.0602	02/26/2020
Sale of Common Stock	(7,421)	4.9500	02/26/2020
Sale of Common Stock	(3,710)	4.9674	02/27/2020
Sale of Common Stock	(29,979)	5.2711	02/28/2020
Sale of Common Stock	(39,835)	5.3525	03/02/2020
Sale of Common Stock	(22,657)	5.3384	03/03/2020
Sale of Common Stock	(43,601)	3.9652	03/09/2020
Sale of Common Stock	(74,207)	3.9503	03/09/2020
Sale of Common Stock	(90,109)	4.0213	03/10/2020
Sale of Common Stock	(200,367)	3.7593	03/10/2020
Sale of Common Stock	(130,856)	3.4000	03/11/2020