QUANTUM CORP /DE/ — Regulatory Filings 2015

Oct 6, 2015

8-K 1 quantum_8k.htm CURRENT REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ___

FORM 8-K ___

CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 6, 2015 ___

Quantum Corporation (Exact name of Registrant as Specified in its Charter)

Delaware	1-13449	94-2665054
(State or Other Jurisdiction	(Commission File	(I.R.S. Employer
of Incorporation)	Number)	Identification
No.)

224 Airport Parkway San Jose, CA 95110 (Address of Principal Executive Offices)

(408) 944-4000 (Registrant’s telephone number, including area code) ___

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (See General Instructions A.2 below):

| ☐ | Written communications pursuant to Rule 425
under the Securities Act (17 CFR 230.425) |
| --- | --- |
| ☐ | Soliciting material pursuant to Rule 14a-12
under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to
Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to
Rule 13e-4(c) under the Exchange Act (17 CFR
20.13e-4(c)) |

Item 2.02 Results of Operations and Financial Condition.

Item 7.01 Regulation FD Disclosure.

On October 6, 2015, Quantum Corporation (the “Company”) issued a press release announcing preliminary total revenue for its fiscal second quarter (ended Sept. 30, 2015), which is attached hereto as Exhibit 99.1.

The information in this report furnished pursuant to Items 2.02 and 7.01, including Exhibit 99.1 attached hereto, shall not be deemed “filed” for the purposes of Section 18 of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section. It may only be incorporated by reference in another filing under the Exchange Act or the Securities Act of 1933, as amended, if such subsequent filing specifically references the information furnished pursuant to Items 2.02 and 7.01 of this report.

Item 8.01 Other Events.

The Company also announced its repayment of approximately $81 million of its 3.5% convertible notes due November 15, 2015 at a price equal to the par amount of the notes plus interest to maturity. The Company used approximately $66 million from its revolving $75 million credit facility with Wells Fargo Capital Finance LLC and approximately $16 million of cash on hand to fund the repayment.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

| Exhibit No. | Exhibit
Description |
| --- | --- |
| 99.1 | Press Release, dated October 6,
2015 |

2

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: October 6, 2015
By:	/s/ Shawn D. Hall
Name:	Shawn D. Hall
Its:	Senior Vice President, General Counsel and
Secretary

Exhibit Index

| Exhibit
No. | Exhibit
Description |
| --- | --- |
| 99.1 | Press Release, dated October 6,
2015 |