3//SEC Filing
VIEX GP, LLC 3
Accession 0000921895-16-004791
CIK 0000709283other
Filed
Jun 1, 8:00 PM ET
Accepted
Jun 2, 9:01 AM ET
Size
19.7 KB
Accession
0000921895-16-004791
Insider Transaction Report
Form 3
Holdings
- 1,413,191(indirect: By: VIEX Opportunities Fund, LP - Series Two)
Common Stock, $0.01 par value
- 20,710,666(indirect: By: VIEX Special Opportunities Fund III, LP)
Common Stock, $0.01 par value
- 7,407,865(indirect: By: VIEX Opportunities Fund, LP - Series One)
Common Stock, $0.01 par value
Holdings
- 1,413,191(indirect: By: VIEX Opportunities Fund, LP - Series Two)
Common Stock, $0.01 par value
- 7,407,865(indirect: By: VIEX Opportunities Fund, LP - Series One)
Common Stock, $0.01 par value
- 20,710,666(indirect: By: VIEX Special Opportunities Fund III, LP)
Common Stock, $0.01 par value
Vertex Opportunities Fund, LP
10% Owner
Holdings
- 7,407,865(indirect: By: VIEX Opportunities Fund, LP - Series One)
Common Stock, $0.01 par value
- 20,710,666(indirect: By: VIEX Special Opportunities Fund III, LP)
Common Stock, $0.01 par value
- 1,413,191(indirect: By: VIEX Opportunities Fund, LP - Series Two)
Common Stock, $0.01 par value
Holdings
- 1,413,191(indirect: By: VIEX Opportunities Fund, LP - Series Two)
Common Stock, $0.01 par value
- 20,710,666(indirect: By: VIEX Special Opportunities Fund III, LP)
Common Stock, $0.01 par value
- 7,407,865(indirect: By: VIEX Opportunities Fund, LP - Series One)
Common Stock, $0.01 par value
Vertex Capital Advisors, LLC
10% Owner
Holdings
- 1,413,191(indirect: By: VIEX Opportunities Fund, LP - Series Two)
Common Stock, $0.01 par value
- 7,407,865(indirect: By: VIEX Opportunities Fund, LP - Series One)
Common Stock, $0.01 par value
- 20,710,666(indirect: By: VIEX Special Opportunities Fund III, LP)
Common Stock, $0.01 par value
Vertex GP, LLC
10% Owner
Holdings
- 1,413,191(indirect: By: VIEX Opportunities Fund, LP - Series Two)
Common Stock, $0.01 par value
- 20,710,666(indirect: By: VIEX Special Opportunities Fund III, LP)
Common Stock, $0.01 par value
- 7,407,865(indirect: By: VIEX Opportunities Fund, LP - Series One)
Common Stock, $0.01 par value
Singer Eric
10% Owner
Holdings
- 7,407,865(indirect: By: VIEX Opportunities Fund, LP - Series One)
Common Stock, $0.01 par value
- 20,710,666(indirect: By: VIEX Special Opportunities Fund III, LP)
Common Stock, $0.01 par value
- 1,413,191(indirect: By: VIEX Opportunities Fund, LP - Series Two)
Common Stock, $0.01 par value
Footnotes (5)
- [F1]This Form 3 is filed jointly by VIEX Opportunities Fund, LP - Series One ("Series One"), a series of VIEX Opportunities Fund, LP ("VIEX Opportunities"), a series limited partnership, VIEX Opportunities Fund, LP - Series Two ("Series Two"), a series of VIEX Opportunities, VIEX Special Opportunities Fund III, LP ("VSO III"), VIEX GP, LLC ("VIEX GP"), VIEX Special Opportunities GP III, LLC ("VSO GP III"), VIEX Capital Advisors, LLC ("VIEX Capital"), and Eric Singer (collectively, the "Reporting Persons").
- [F2]The Reporting Persons are filing this report because each of the Reporting Persons is a member of a Section 13(d) group, disclosed in a Schedule 13D filed on behalf of the Reporting Persons, as it may be amended, which beneficially owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.
- [F3]Shares of Common Stock beneficially owned directly by Series One. VIEX GP, as the general partner of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. VIEX Capital, as the investment manager of Series One, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series One.
- [F4]Shares of Common Stock beneficially owned directly by Series Two. VIEX GP, as the general partner of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. VIEX Capital, as the investment manager of Series Two, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two. Mr. Singer, as the managing member of each of VIEX GP and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by Series Two.
- [F5]Shares of Common Stock beneficially owned directly by VSO III. VSO GP III, as the general partner of VSO III, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO III. VIEX Capital, as the investment manager of VSO III, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO III. Mr. Singer, as the managing member of each of VSO GP III and VIEX Capital, may be deemed the beneficial owner of the shares of Common Stock beneficially owned by VSO III.
Documents
Issuer
QUANTUM CORP /DE/
CIK 0000709283
Entity typeother
Related Parties
1- filerCIK 0001654852
Filing Metadata
- Form type
- 3
- Filed
- Jun 1, 8:00 PM ET
- Accepted
- Jun 2, 9:01 AM ET
- Size
- 19.7 KB