(QMCO)

Role: 10%+ Owner
Signature: /s/ Alyssa Creighton, Senior Vice President, Pacific Investment Management Company LLC
Issuer symbol: QMCO
Transactions as of: 13 Aug 2024
Net transactions value: $0
Form type: 4
Filing time: 15 Aug 2024, 19:23:47 UTC
Previous filing: 31 Jul 2024
Next filing: 07 Jan 2025
SEC: View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	QMCO	Warrants (right to buy)	Award	$0	+4,481,169		$0.000000	4,481,169	13 Aug 2024	Common Stock	4,481,169	$0.3100	See Footnote	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The reported securities were issued in connection with the Term Loan Amendment described in the Form 8-K filed by Quantum Corporation (CIK: 0000709283) on August 14, 2024. For more information on the warrants, please refer to the previously referenced Form 8-K. The securities are held by certain funds and accounts for which the Reporting Person serves as investment manager, advisor or sub-advisor, including (i) OC II FIE V LP, which holds 2,980,860 shares of common stock par value $0.01 per share (the "Common Stock") and warrants to purchase 6,682,488 shares of Common Stock and (ii) OC III LVS XL LP, which holds 7,267,462 shares of Common Stock and warrants to purchase 6,875,572 shares of common stock.
F2	(Continued from footnote 1) Each of the aforementioned warrants include provisions that restrict the exercise of such warrants to the extent that such exercise would (a) cause the Reporting Person and its affiliates to beneficially own more than 19.99% of the issuer's total issued and outstanding common stock or (b) would otherwise result in a change of control of the issuer within the meaning of Nasdaq Listing Rule 5635(b). The Reporting Person disclaims beneficial ownership in the reported securities, except to the extent of its pecuniary interest therein.

Content

The reported securities were issued in connection with the Term Loan Amendment described in the Form 8-K filed by Quantum Corporation (CIK: 0000709283) on August 14, 2024. For more information on the warrants, please refer to the previously referenced Form 8-K. The securities are held by certain funds and accounts for which the Reporting Person serves as investment manager, advisor or sub-advisor, including (i) OC II FIE V LP, which holds 2,980,860 shares of common stock par value $0.01 per share (the "Common Stock") and warrants to purchase 6,682,488 shares of Common Stock and (ii) OC III LVS XL LP, which holds 7,267,462 shares of Common Stock and warrants to purchase 6,875,572 shares of common stock.

(Continued from footnote 1) Each of the aforementioned warrants include provisions that restrict the exercise of such warrants to the extent that such exercise would (a) cause the Reporting Person and its affiliates to beneficially own more than 19.99% of the issuer's total issued and outstanding common stock or (b) would otherwise result in a change of control of the issuer within the meaning of Nasdaq Listing Rule 5635(b). The Reporting Person disclaims beneficial ownership in the reported securities, except to the extent of its pecuniary interest therein.