QUANTUM CORP DE
For the period ended Sep 30, 2024. Filed Nov 14, 2024.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2024 · Filed Nov 14, 2024
QMCO$16.99+17.4%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
The exhibits required to be filed or furnished as part of this Quarterly Report are listed below. Notwithstanding any language to the contrary, exhibits 32.1 and 32.2 shall not be deemed to be filed as part of this Quarterly Report for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or deemed to be incorporated by reference into any filing under the Exchange Act or the Securities Act of 1933, except to the extent that the Company specifically incorporates it by reference.
| Incorporated by Reference | ||||
|---|---|---|---|---|
| ExhibitNumber · Exhibit Description · Form · Filing Date · Exhibit · Filed or Furnished Herewith | ||||
| 3.1 · Amended and Restated Certificate of Incorporation of the Company, as amended through August 26, 2024 · X | ||||
| 4.1 | Warrant to Purchase Common Stock dated July 11, 2024, Warrant No. 2024-12, issued to OC III LVS XL LP | 8-K | 7/12/24 | 4.1 |
| 4.2 | Warrant to Purchase Common Stock dated July 11, 2024, Warrant No. 2024-7, issued to Blue Torch Credit Opportunities KRS Fund LP | 8-K | 7/12/24 | 4.2 |
| 4.3 | Warrant to Purchase Common Stock dated July 11, 2024, Warrant No. 2024-8, issued to Blue Torch Offshore Credit Opportunities Master Fund II LP | 8-K | 7/12/24 | 4.3 |
| 4.4 | Warrant to Purchase Common Stock dated July 11, 2024, Warrant No. 2024-9, issued to Blue Torch Credit Opportunities SBAF Fund LP | 8-K | 7/12/24 | 4.4 |
| 4.5 | Warrant to Purchase Common Stock dated July 11, 2024, Warrant No. 2024-10, issued to BTC Holdings SC Fund LLC | 8-K | 7/12/24 | 4.5 |
| 4.6 | Warrant to Purchase Common Stock dated July 11, 2024, Warrant No. 2024-11, issued to Blue Torch Credit Opportunities Fund II LP | 8-K | 7/12/24 | 4.6 |
| 4.7 | Form of Warrant to Purchase Common Stock dated August 13, 2024 issued to certain funds affiliated with Blue Torch Credit | 8-K | 8/14/24 | 4.1 |
| 4.8 | Warrant to Purchase Common Stock dated August 13, 2024, Warrant No. 2024-18, issued to OC III LVS XL LP | 8-K | 8/14/24 | 4.2 |
| 4.9 | Amended and Restated Warrant to Purchase Common Stock dated June 1, 2023 (as amended and restated on August 13, 2024), Warrant No. 2023-2, issued to OC III LVS XL LP | 8-K | 8/14/24 | 4.3 |
| 4.1 | Amended and Restated Warrant to Purchase Common Stock dated May 24, 2024 (as amended and restated on August 13, 2024), Warrant No. 2024-7, issued to OC III LVS XL LP | 8-K | 8/14/24 | 4.4 |
| 4.1 | Amended and Restated Warrant to Purchase Common Stock dated July 10, 2024 (as amended and restated on August 13, 2024), Warrant No. 2024-12, issued to OC III LVS XL LP | 8-K | 8/14/24 | 4.5 |
| 4.1 | Amended and Restated Warrant to Purchase Common Stock dated December 27, 2018 (as amended and restated on August 13, 2024), Warrant No. 2, issued to BTC Holdings Fund I, LLC | 8-K | 8/14/24 | 4.6 |
| 4.1 | Form of Amended and Restated Warrant to Purchase Common Stock dated June 16, 2020 (as amended and restated on August 13, 2024) issued to certain funds affiliated with Blue Torch Credit | 8-K | 8/14/24 | 4.7 |
| 4.1 | Form of Amended and Restated Warrant to Purchase Common Stock dated May 24, 2024 (as amended and restated on August 13, 2024) issued to certain funds affiliated with Blue Torch Credit | 8-K | 8/14/24 | 4.8 |
| 4.2 | Form of Amended and Restated Warrant to Purchase Common Stock dated July 10, 2024 (as amended and restated on August 13, 2024) issued to certain funds affiliated with Blue Torch Credit | 8-K | 8/14/24 | 4.9 |
| 10.1* | Ninth Amendment dated July 11, 2024 to Term Loan Credit and Security Agreement dated August 5, 2021 by and among the Company, Quantum LTO Holdings, LLC, the borrowers and guarantors party thereto, the lenders party thereto, and Blue Torch Finance LLC | 8-K | 7/12/24 | 10.1 |
| 10.2* | Tenth Amendment dated August 13, 2024 to Term Loan Credit and Security Agreement dated August 5, 2021 by and among the Company, Quantum LTO Holdings, LLC, the borrowers and guarantors party thereto, the lenders party thereto, and Blue Torch Finance LLC | 8-K | 8/14/24 | 10.1 |
| 10.3* | Fifteenth Amendment dated July 11, 2024 to Amended and Restated Revolving Credit and Security Agreement dated December 27, 2018 by and among the Company, Quantum LTO Holdings, LLC, Square Box Systems Limited, the borrowers and guarantors party thereto, the lenders party thereto, and PNC Bank, National Association | 8-K | 7/12/24 | 10.2 |
| 10.4* | Sixteenth Amendment dated August 13, 2024 to Amended and Restated Revolving Credit and Security Agreement dated December 27, 2018 by and among the Company, Quantum LTO Holdings, LLC, the borrowers and guarantors party thereto, the lenders party thereto, and PNC Bank, National Association | 8-K | 8/14/24 | 10.2 | |
| 10.5# | Quantum Corporation 2023 Long-Term Incentive Plan, as amended through June 27, 2024 | S-8 | 9/16/24 | 99.1 | |
| 31.1 | Certification of the Principal Executive Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 | X | |||
| 31.2 | Certification of the Principal Financial Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1 | Certification of Principal Executive Officer pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.2 | Certification of Principal Financial Officer pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002 | X | |||
| 97 | Quantum Corporation Executive Compensation Recoupment Policy | X | |||
| 101.SCH | XBRL Taxonomy Extension Schema Document | X | |||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | X | |||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document | X | |||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document | X | |||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document | X | |||
| 104 | Cover page interactive data file, submitted using inline XBRL (contained in Exhibit 101) | X | |||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.