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Quantum Corp./DE – ‘8-K’ for 8/18/20

On:  Thursday, 8/20/20, at 11:26am ET   ·   For:  8/18/20   ·   Accession #:  709283-20-22   ·   File #:  1-13449

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  As Of               Filer                 Filing    For·On·As Docs:Size

 8/20/20  Quantum Corp./DE                  8-K:5       8/18/20   12:220K

Current Report   —   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     34K 
 8: R1          Cover Page                                          HTML     47K 
10: XML         IDEA XML File -- Filing Summary                      XML     12K 
 7: XML         XBRL Instance -- qtm-20200818_htm                    XML     22K 
 9: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 3: EX-101.CAL  XBRL Calculations -- qtm-20200818_cal                XML      7K 
 4: EX-101.DEF  XBRL Definitions -- qtm-20200818_def                 XML      9K 
 5: EX-101.LAB  XBRL Labels -- qtm-20200818_lab                      XML     69K 
 6: EX-101.PRE  XBRL Presentations -- qtm-20200818_pre               XML     34K 
 2: EX-101.SCH  XBRL Schema -- qtm-20200818                          XSD     11K 
11: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    17K 
12: ZIP         XBRL Zipped Folder -- 0000709283-20-000022-xbrl      Zip     19K 


‘8-K’   —   Current Report


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 iX:   C:  C: 
  qtm-20200818  
 i 0000709283 i FALSE00007092832020-08-182020-08-18

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM  i 8-K

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported):  i August 18, 2020
qtm-20200818_g1.jpg
 i Quantum Corporation
(Exact name of registrant as specified in its charter)
 i Delaware i 001-13449 i 94-2665054
(State or other jurisdiction of incorporation or organization)(Commission File No.)(I.R.S. Employer Identification No.)
 i 224 Airport Parkway i Suite 550
 i San Jose i CA i 95110
(Address of Principal Executive Offices)(Zip Code)

 i (408) i 944-4000
Registrant's telephone number, including area code
(Former name, former address and former fiscal year, if changed since last report)

Securities registered pursuant to Section 12(b) of the Act:

Title of each classTrading SymbolName of each exchange on which registered
 i Common Stock, $0.01 par value per share i QMCO i Nasdaq Global Market





Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 i  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 i  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 i  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 i  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  i 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐








































Item 5.07 Submission of Matters to a Vote of Security Holders.

The following is a brief description of each matter submitted to a vote at the Annual Meeting of the stockholders of Quantum Corporation (the “Company”) held on August 18, 2020, as well as the number of votes with respect to each matter. For more information about these proposals, please refer to the Company’s definitive proxy statement on Schedule 14A filed with the SEC on July 2, 2020.

Proposal 1 - Election of Directors. Proposal to elect five directors to serve until the 2021 annual meeting or until their successors are duly elected and qualified, or until their earlier death, resignation or removal:

ForAgainstAbstainBroker Non-Votes
John A. Fichthorn18,110,780453,12929,72115,403,507
Rebecca J. Jacoby18,391,552191,94310,13515,403,507
James J. Lerner18,436,254149,9977,37915,403,507
Raghavendra Rau18,382,863202,4638,30415,403,507
Marc E. Rothman18,302,965278,79911,86615,403,507


Proposal 2 Ratification of the Independent Registered Public Accounting Firm. Proposal to ratify the appointment of Armanino LLP as the Company’s independent registered public accounting firm for the fiscal year ending March 31, 2021:

ForAgainstAbstain
33,691,536149,451156,150


Proposal 3 Advisory Vote on Named Executive Officer Compensation. Proposal to adopt the below resolution to approve, on an advisory basis, the compensation of the named executive officers of the Company:

“RESOLVED, that the Company’s stockholders approve, on an advisory basis, the compensation of the named executive officers, as disclosed in the Company’s Proxy Statement for the Annual Meeting of Stockholders pursuant to the compensation disclosure rules of the Securities and Exchange Commission, including the Compensation Discussion and Analysis, the Summary Compensation table and the supporting tabular and narrative disclosure on executive compensation.”

ForAgainstAbstainBroker Non-Votes
17,599,585404,137589,90815,403,507














SIGNATURES

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 thereunto duly authorized.

Quantum Corporation
(Registrant)
 
August 20, 2020/s/ J. Michael Dodson
(Date)J. Michael Dodson
Chief Financial Officer
        
        
        



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
3/31/2110-K,  DEF 14A
Filed on:8/20/20
For Period end:8/18/20
7/2/204,  DEF 14A,  DEFA14A
 List all Filings 


6 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/29/22  Quantum Corp./DE                  424B5                  1:627K                                   Donnelley … Solutions/FA
 2/04/21  Quantum Corp./DE                  424B2                  1:456K                                   Donnelley … Solutions/FA
 2/03/21  Quantum Corp./DE                  424B3                  1:463K                                   Donnelley … Solutions/FA
 2/01/21  Quantum Corp./DE                  S-3                    3:238K
12/10/20  Quantum Corp./DE                  424B2                  1:295K
11/25/20  Quantum Corp./DE                  S-3                    5:2.5M
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