-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DQgsxsG9e/wOwpS48ZGUHGASfiBUKf9hp5z0eUk5k+8pgs0q+AX7r8R/H4ktxgpp 2QZQRdAXddMGM5B+238yQQ== 0001021408-02-011007.txt : 20020814 0001021408-02-011007.hdr.sgml : 20020814 20020814181021 ACCESSION NUMBER: 0001021408-02-011007 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20020814 ITEM INFORMATION: FILED AS OF DATE: 20020814 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-13449 FILM NUMBER: 02738123 BUSINESS ADDRESS: STREET 1: 501 SYCAMORE STREET CITY: MILPITAS STATE: CA ZIP: 95035 BUSINESS PHONE: 4088944000 MAIL ADDRESS: STREET 1: 501 SYCAMORE STREET CITY: MILPITAS STATE: CA ZIP: 95035 8-K 1 d8k.htm FORM 8-K Prepared by R.R. Donnelley Financial -- Form 8-K
 
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
 

 
FORM 8-K
CURRENT REPORT
 

 
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
 
August 14, 2002
Date of Report (Date of earliest event reported)
 
Quantum Corporation
(Exact name of registrant as specified in its charter)
 
Delaware
(State or other jurisdiction of incorporation)
 
1-13449
 
94-2665054
(Commission File Number)
 
(IRS Employer Identification No.)
501 Sycamore Dr., Milpitas, CA
 
95035
(Address of principal executive offices)
 
(Zip Code)
 
408-944-4000
(Registrant’s telephone number, including area code)
 


 
ITEM 9.  Regulation FD Disclosure.
 
On August 14, 2002, each of Michael A. Brown, Chief Executive Officer of the Company (the Company’s principal executive officer), and Michael J. Lambert, Chief Financial Officer of the Company (the Company’s principal financial officer), submitted to the Securities and Exchange Commission sworn statements pursuant to Securities and Exchange Commission Order No. 4-460. A copy of these statements is attached hereto as Exhibits 99.1 and 99.2, respectively.
 
On August 14, 2002, Messrs. Brown and Lambert also provided the certification required pursuant to 18 U.S.C. Section 1350 (Section 906 of the Sarbanes-Oxley Act of 2002). A copy of this certification is attached hereto as Exhibit 99.3.


SIGNATURE
 
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 hereunto duly authorized.
 
QUANTUM CORPORATION
By:
 
/s/    MICHAEL J. LAMBERT

   
Michael J. Lambert
Executive Vice President, Chief Financial Officer
 
Dated:    August 14, 2002


EXHIBIT INDEX
 
Exhibit No.

  
Description

Exhibit 99.1
  
Statement Under Oath of Principal Executive Officer dated August 14, 2002
Exhibit 99.2
  
Statement Under Oath of Principal Financial Officer dated August 14, 2002
Exhibit 99.3
  
Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C. Section 1350 dated August 14, 2002

EX-99.1 3 dex991.htm STATEMENT OF PRINCIPAL EXECUTIVE OFFICER Prepared by R.R. Donnelley Financial -- Statement of Principal Executive Officer
Exhibit 99.1
 
Statement Under Oath of Principal Executive Officer and Principal Financial Officer
Regarding Facts and Circumstances Relating to Exchange Act Filings
 
I, Michael A. Brown, state and attest that:
 
 
(1)
 
To the best of my knowledge, based upon a review of the covered reports of Quantum Corporation, and, except as corrected or supplemented in a subsequent covered report:
 
 
 
no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and
 
 
 
no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).
 
 
(2)
 
I have reviewed the contents of this statement with the Company’s audit committee.
 
 
(3)
 
In this statement under oath, each of the following, if filed on or before the date of this statement, is a “covered report”:
 
 
 
Annual Report on Form 10-K of Quantum Corporation for the period ending March 31, 2002;
 
 
 
all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Quantum Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and
 
 
 
any amendments to any of the foregoing.
 
/s/    MICHAEL A. BROWN

Michael A. Brown
August 14, 2002


 
Subscribed and sworn to before me this 14th day of August 2002.
 
/s/    CAROL DEE COFFER

Notary Public
 
My Commission Expires:
EX-99.2 4 dex992.htm STATEMENT OF PRINCIPAL FINANCIAL OFFICER Prepared by R.R. Donnelley Financial -- Statement of Principal Financial Officer
Exhibit 99.2
 
Statement Under Oath of Principal Executive Officer and Principal Financial Officer
Regarding Facts and Circumstances Relating to Exchange Act Filings
 
I, Michael J. Lambert, state and attest that:
 
 
(4)
 
To the best of my knowledge, based upon a review of the covered reports of Quantum Corporation, and, except as corrected or supplemented in a subsequent covered report:
 
 
 
no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and
 
 
 
no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed).
 
 
(5)
 
I have reviewed the contents of this statement with the Company’s audit committee.
 
 
(6)
 
In this statement under oath, each of the following, if filed on or before the date of this statement, is a “covered report”:
 
 
 
Annual Report on Form 10-K of Quantum Corporation for the period ending March 31, 2002;
 
 
 
all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Quantum Corporation filed with the Commission subsequent to the filing of the Form 10-K identified above; and
 
 
 
any amendments to any of the foregoing.
 
/s/    MICHAEL J. LAMBERT

Michael J. Lambert
August 14, 2002


 
Subscribed and sworn to before me this 14th day of August 2002.
 
/s/    CAROL DEE COFFER

Notary Public
 
My Commission Expires:
EX-99.3 5 dex993.htm CERTIFICATION OF CEO AND CFO Prepared by R.R. Donnelley Financial -- Certification of CEO and CFO
Exhibit 99.3
 
Certification of CEO and CFO Pursuant to
18 U.S.C. Section 1350,
As Adopted Pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002
 
In connection with the Quarterly Report of Quantum Corporation (the “Company”) on Form 10-Q for the period ending June 30, 2002 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), Michael A. Brown, as Chief Executive Officer of the Company, and Michael J. Lambert, as Chief Financial Officer of the Company, each hereby certifies, pursuant to 18 U.S.C. § 1350, as adopted pursuant to § 906 of the Sarbanes-Oxley Act of 2002, that:
 
(1)  The Report fully complies with the requirements of section 13(a) of the Securities Exchange Act of 1934; and
 
(2)  The information contained in the Report fairly presents, in all material respects, the financial condition and result of operations of the Company.
 
/s/    MICHAEL A. BROWN
                                                                                                         
Michael A. Brown
Chief Executive Officer
August 14, 2002
 
/s/    MICHAEL J. LAMBERT
                                                                                                         
Michael J. Lambert
Chief Financial Officer
August 14, 2002
 
This certification is made pursuant to § 906 of the Sarbanes-Oxley Act of 2002 and shall not be deemed filed by the Company for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.

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