0001213900-19-025434.txt : 20191205 0001213900-19-025434.hdr.sgml : 20191205 20191205171457 ACCESSION NUMBER: 0001213900-19-025434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191203 FILED AS OF DATE: 20191205 DATE AS OF CHANGE: 20191205 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: 191271020 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: 191271021 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 4 1 ownership.xml X0306 4 2019-12-03 1 0000709283 QUANTUM CORP /DE/ QMCO 0001704985 BR Dialectic Capital Management, LLC 119 ROWAYTON AVENUE, 2ND FLOOR NORWALK, CT 06853 0 0 1 0 0001325552 Dialectic Antithesis Partners, LP 119 ROWAYTON AVENUE, 2ND FLOOR NORWALK, CT 06853 0 0 1 0 Common Stock 2019-12-03 4 S 0 969900 5.25 D 0 I Held by Dialectic Antithesis Partners, LP In addition to BR Dialectic Capital Management, LLC, a Delaware limited liability company ("BR Dialectic"), this Form 4 is being filed jointly by Dialectic Antithesis Partners, LP, a Delaware limited partnership ("Dialectic" and collectively, the "Filing Persons"). BR Dialectic is the general partner and investment manager of Dialectic. As a result, BR Dialectic may be deemed to indirectly beneficially own the securities held by Dialectic. Each of the Filing Persons disclaims beneficial ownership of the outstanding shares of Common Stock ("Common Stock") of Quantum Corporation, a Delaware corporation (the "Issuer"), reported herein except to the extent of its pecuniary interest therein. On December 3, 2019, B. Riley Financial, Inc. ("BRF") purchased 969,900 shares of Common Stock from Dialectic at a purchase price of $5.25 per share. BRF previously reported that it may have been deemed to indirectly beneficially own the 969,900 shares of Common Stock that were previously held by Dialectic. As a result of the sale, the Filing Persons do not own any shares of Common Stock and are no longer subject to Section 16 of the Exchange Act of 1934. BR Dialectic Capital Management, LLC, by B. Riley Capital Management, LLC, its sole member, by: /s/ Bryant R. Riley, Chief Executive Officer 2019-12-05 Dialectic Antithesis Partners, LP, by: /s/ John Fichthorn, Portfolio Manager 2019-12-05