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

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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 2, 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 8.01. Other Events

On October 2, 2015, Quantum Corporation (“Quantum” or the “Company”) was notified by the New York Stock Exchange ("NYSE") that it was not in compliance with the NYSE’s continued listing standard requiring that stocks trade at a minimum average closing price of $1 for 30 consecutive trading days. Under NYSE rules, Quantum has six months from receipt of the notification on Oct. 2, 2015, to comply with the listing standard. The Company’s stock will continue to be listed on the NYSE during this six-month period, subject to compliance with other NYSE continued listing requirements. A copy of Quantum's press release is attached as Exhibit 99.1 hereto and incorporated by reference.

This information shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange Act), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

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 |