0000899243-23-015339.txt : 20230609 0000899243-23-015339.hdr.sgml : 20230609 20230609215452 ACCESSION NUMBER: 0000899243-23-015339 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230601 FILED AS OF DATE: 20230609 DATE AS OF CHANGE: 20230609 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PACIFIC INVESTMENT MANAGEMENT CO LLC CENTRAL INDEX KEY: 0001163368 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 231006967 BUSINESS ADDRESS: STREET 1: 650 NEWPORT CENTER DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-720-6000 MAIL ADDRESS: STREET 1: 650 NEWPORT CENTER DRIVE CITY: NEWPORT BEACH STATE: CA ZIP: 92660 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 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-06-01 0 0000709283 QUANTUM CORP /DE/ QMCO 0001163368 PACIFIC INVESTMENT MANAGEMENT CO LLC 650 NEWPORT CENTER DRIVE NEWPORT BEACH CA 92660 0 0 1 0 0 Warrants (right to buy) 1.00 2023-06-01 4 A 0 1250000 0.00 A 2023-06-01 2033-06-01 Common Stock 1250000 1250000 I See Footnote 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 June 6, 2023. 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 6,525,289 shares of Common Stock and (ii) OC III LVS XL LP, which holds 7,267,462 shares of Common Stock and warrants to purchase 1,250,000 shares of common stock. The Reporting Person disclaims beneficial ownership in the reported securities, except to the extent of its pecuniary interest therein. /s/ Ryan Curtis, Vice President, Pacific Investment Management Company LLC 2023-06-09