<SEC-DOCUMENT>0001615774-19-000547.txt : 20190111
<SEC-HEADER>0001615774-19-000547.hdr.sgml : 20190111
<ACCEPTANCE-DATETIME>20190111174720
ACCESSION NUMBER:		0001615774-19-000547
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20190109
FILED AS OF DATE:		20190111
DATE AS OF CHANGE:		20190111

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			B. Riley Financial, Inc.
		CENTRAL INDEX KEY:			0001464790
		STANDARD INDUSTRIAL CLASSIFICATION:	SERVICES-BUSINESS SERVICES, NEC [7389]
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13449
		FILM NUMBER:		19523148

	BUSINESS ADDRESS:	
		STREET 1:		21255 BURBANK BLVD.
		STREET 2:		SUITE 400
		CITY:			WOODLAND HILLS
		STATE:			CA
		ZIP:			91367
		BUSINESS PHONE:		818-884-3737

	MAIL ADDRESS:	
		STREET 1:		21255 BURBANK BLVD.
		STREET 2:		SUITE 400
		CITY:			WOODLAND HILLS
		STATE:			CA
		ZIP:			91367

	FORMER NAME:	
		FORMER CONFORMED NAME:	Great American Group, Inc.
		DATE OF NAME CHANGE:	20090522

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			BRC Partners Opportunity Fund, LP
		CENTRAL INDEX KEY:			0001642765
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13449
		FILM NUMBER:		19523149

	BUSINESS ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD. SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025
		BUSINESS PHONE:		310-966-1445

	MAIL ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD. SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			BRC Partners Management GP, LLC
		CENTRAL INDEX KEY:			0001749420
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13449
		FILM NUMBER:		19523150

	BUSINESS ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025
		BUSINESS PHONE:		310-689-2220

	MAIL ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			B. RILEY CAPITAL MANAGEMENT, LLC
		CENTRAL INDEX KEY:			0001658704
		STATE OF INCORPORATION:			NY
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13449
		FILM NUMBER:		19523151

	BUSINESS ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD.
		STREET 2:		SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025
		BUSINESS PHONE:		310-966-1445

	MAIL ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD.
		STREET 2:		SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			B. RILEY FBR, INC.
		CENTRAL INDEX KEY:			0000852412
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13449
		FILM NUMBER:		19523152

	BUSINESS ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD
		STREET 2:		SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025
		BUSINESS PHONE:		3109661444

	MAIL ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD
		STREET 2:		SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025

	FORMER NAME:	
		FORMER CONFORMED NAME:	FBR CAPITAL MARKETS & CO.
		DATE OF NAME CHANGE:	20171206

	FORMER NAME:	
		FORMER CONFORMED NAME:	B. RILEY FBR, INC.
		DATE OF NAME CHANGE:	20171204

	FORMER NAME:	
		FORMER CONFORMED NAME:	FBR CAPITAL MARKETS & CO.
		DATE OF NAME CHANGE:	20090324

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Dialectic Antithesis Partners, LP
		CENTRAL INDEX KEY:			0001325552
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13449
		FILM NUMBER:		19523153

	BUSINESS ADDRESS:	
		STREET 1:		119 ROWAYTON AVENUE
		STREET 2:		2ND FLOOR
		CITY:			NORWALK
		STATE:			CT
		ZIP:			06853
		BUSINESS PHONE:		212-230-3220

	MAIL ADDRESS:	
		STREET 1:		119 ROWAYTON AVENUE
		STREET 2:		2ND FLOOR
		CITY:			NORWALK
		STATE:			CT
		ZIP:			06853

	FORMER NAME:	
		FORMER CONFORMED NAME:	DIALECTIC ANTITHESIS PARTNERS, LP
		DATE OF NAME CHANGE:	20081028

	FORMER NAME:	
		FORMER CONFORMED NAME:	Dialectic Antithesis Partners L P
		DATE OF NAME CHANGE:	20050429

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			BR Dialectic Capital Management, LLC
		CENTRAL INDEX KEY:			0001704985
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13449
		FILM NUMBER:		19523154

	BUSINESS ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD., SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025
		BUSINESS PHONE:		310-966-1444

	MAIL ADDRESS:	
		STREET 1:		11100 SANTA MONICA BLVD., SUITE 800
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90025

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			QUANTUM CORP /DE/
		CENTRAL INDEX KEY:			0000709283
		STANDARD INDUSTRIAL CLASSIFICATION:	COMPUTER STORAGE DEVICES [3572]
		IRS NUMBER:				942665054
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			0331

	BUSINESS ADDRESS:	
		STREET 1:		224 AIRPORT PARKWAY
		STREET 2:		SUITE 550
		CITY:			SAN JOSE
		STATE:			CA
		ZIP:			95110
		BUSINESS PHONE:		408 944 4000

	MAIL ADDRESS:	
		STREET 1:		224 AIRPORT PARKWAY
		STREET 2:		SUITE 550
		CITY:			SAN JOSE
		STATE:			CA
		ZIP:			95110
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
<FILENAME>s115340_form4.xml
<DESCRIPTION>FORM 4
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2019-01-09</periodOfReport>

    <notSubjectToSection16>0</notSubjectToSection16>

    <issuer>
        <issuerCik>0000709283</issuerCik>
        <issuerName>QUANTUM CORP /DE/</issuerName>
        <issuerTradingSymbol>QTM</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001464790</rptOwnerCik>
            <rptOwnerName>B. Riley Financial, Inc.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>21255 BURBANK BLVD.</rptOwnerStreet1>
            <rptOwnerStreet2>SUITE 400</rptOwnerStreet2>
            <rptOwnerCity>WOODLAND HILLS</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>91367</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
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            <isTenPercentOwner>1</isTenPercentOwner>
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            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001642765</rptOwnerCik>
            <rptOwnerName>BRC Partners Opportunity Fund, LP</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>11100 SANTA MONICA BLVD. SUITE 800</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>LOS ANGELES</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>90025</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
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            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001749420</rptOwnerCik>
            <rptOwnerName>BRC Partners Management GP, LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>11100 SANTA MONICA BLVD SUITE 800</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>LOS ANGELES</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>90025</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
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            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001658704</rptOwnerCik>
            <rptOwnerName>B. RILEY CAPITAL MANAGEMENT, LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>11100 SANTA MONICA BLVD.</rptOwnerStreet1>
            <rptOwnerStreet2>SUITE 800</rptOwnerStreet2>
            <rptOwnerCity>LOS ANGELES</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>90025</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0000852412</rptOwnerCik>
            <rptOwnerName>B. RILEY FBR, INC.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>11100 SANTA MONICA BLVD</rptOwnerStreet1>
            <rptOwnerStreet2>SUITE 800</rptOwnerStreet2>
            <rptOwnerCity>LOS ANGELES</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>90025</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001325552</rptOwnerCik>
            <rptOwnerName>Dialectic Antithesis Partners, LP</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>119 ROWAYTON AVENUE</rptOwnerStreet1>
            <rptOwnerStreet2>2ND FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NORWALK</rptOwnerCity>
            <rptOwnerState>CT</rptOwnerState>
            <rptOwnerZipCode>06853</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
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            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001704985</rptOwnerCik>
            <rptOwnerName>BR Dialectic Capital Management, LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>119 ROWAYTON AVENUE</rptOwnerStreet1>
            <rptOwnerStreet2>2ND FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NORWALK</rptOwnerCity>
            <rptOwnerState>CT</rptOwnerState>
            <rptOwnerZipCode>06853</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2019-01-09</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>P</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionTimeliness></transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>500000</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>1.585</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>2195124</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See notes</value>
                    <footnoteId id="F1"/>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
    </nonDerivativeTable>

    <footnotes>
        <footnote id="F1">In addition to B. Riley Financial, Inc., a Delaware corporation (&quot;BRF&quot;), this Form 3 is being filed jointly by BRC Partners Opportunity Fund, L.P., a Delaware limited partnership (&quot;BRPLP&quot;), B. Riley Capital Management, LLC, a New York limited liability company (&quot;BRCM&quot;), BRC Partners Management GP, LLC, a Delaware limited liability company (&quot;BRPGP&quot;), B. Riley FBR, Inc., a Delaware corporation (&quot;BRFBR&quot;), Dialectic Antithesis Partners, LP, a Delaware limited partnership (&quot;Dialectic&quot;) and BR Dialectic Capital Management, LLC, a Delaware limited liability company (collectively, the &quot;Filing Persons&quot;).</footnote>
        <footnote id="F2">BRPGP is the general partner of BRPLP, BRCM is an investment advisor to BRPLP and BRF is the parent company of BRCM. As a result, BRPGP, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by BRPLP. BRF is the parent company of BRFBR. As a result, BRF may be deemed to indirectly beneficially own the Shares held by BRFBR. BR Dialectic is the general partner and investment manager of Dialectic. BRCM is the parent company of BR Dialectic and BRF is the parent company of BRCM. As a result, BR Dialectic, BRCM and BRF may be deemed to indirectly beneficially own the Shares held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock (&quot;Common Stock&quot;), of Quantum Corporation, a Delaware corporation (the &quot;Issuer&quot;), reported herein except to the extent of its pecuniary interest therein.</footnote>
        <footnote id="F3">Represents shares of Common Stock owned directly by BRFBR.</footnote>
    </footnotes>

    <remarks>Each of the Filing Persons may be deemed to beneficially own the securities of the Issuer owned by the other Filing Persons. The filing of this Form 4 shall not be deemed an admission that the Filing Persons are the beneficial owners of any securities of the Issuer it does not directly own. Each of the Filing Persons specifically disclaims beneficial ownership of the securities reported herein that it does not directly own.</remarks>

    <ownerSignature>
        <signatureName>B. Riley Financial, Inc., by: /s/ Bryant R. Riley, Co-Chief Executive Officer</signatureName>
        <signatureDate>2019-01-11</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>BRC Partners Opportunity Fund, L.P., by: /s/ Bryant R. Riley, Chief Investment Officer</signatureName>
        <signatureDate>2019-01-11</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>BRC Partners Management GP, LLC, by B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer</signatureName>
        <signatureDate>2019-01-11</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>B. Riley Capital Management, LLC, by: /s/ Bryant R. Riley, Chief Executive Officer</signatureName>
        <signatureDate>2019-01-11</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>B. Riley FBR, Inc., by: /s/ Andy Moore, Chief Executive Officer</signatureName>
        <signatureDate>2019-01-11</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>Dialectic Antithesis Partners, LP, by: /s/ John Fichthorn, Portfolio Manager</signatureName>
        <signatureDate>2019-01-11</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>BR Dialectic Capital Management, LLC, by B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer</signatureName>
        <signatureDate>2019-01-11</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
