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SCHEDULE 13D/A Filed 2026-06-08 Event 2026-06-04 SEC 0000899140-26-000635 →

Dialectic Technology SPV LLC QUANTUM CORP /DE/ QMCO

Stake: 40.00% Shares: 16,863,839 CUSIP: 747906600 Class: Common Stock

Item 4 — Purpose of Transaction

Item 4 of the Amended Statement is hereby amended by adding the following paragraphs to the end of Item 4: Entry into Conversion Agreement On June 4, 2026 (the "Closing"), the Company issued and sold to certain accredited investors in a private placement (the "Private Placement"), an aggregate of 10,615,712 shares of Common Stock. In order to facilitate, among other things, the Private Placement, Dialectic, as the sole beneficial owner of the Convertible Notes issued under the Indenture, agreed to voluntarily convert the Convertible Notes into Common Stock. Pursuant to a Conversion Agreement dated June 1, 2026 (the "Conversion Agreement"), by and among the Company, Dialectic and, solely with respect to Sections 7.1 and 7.3 and Articles III and X thereof, U.S. Bank Trust Company, National Association, as the trustee and Notes Collateral Agent under the Indenture, Dialectic converted the entire principal amount of the Convertible Notes, together with all accrued and unpaid interest thereon at the Closing, subject to certain conditions set forth in the Conversion Agreement (the "Conversion"). At the Closing, the Convertible Notes were canceled in accordance with the Indenture, and the Indenture was satisfied and discharged. In connection with the Conversion, at the Closing, the Company issued to Dialectic 11,020,645 shares of Common Stock. At the Closing, as consideration for Dialectic's agreement to voluntarily convert the Convertible Notes, the Company issued to Dialectic, (i) 3,083,975 additional shares of Common Stock in connection with the Conversion (the "Consideration Shares"), which represents the quotient of (A) approximately $13.0 million, the present value of nominal PIK interest that would accrue on the Convertible Notes from the Closing to the maturity date thereof, assuming the Convertible Notes had remained outstanding until the end of the stated term, discounted at a rate of 11%, plus (B) approximately $3.0 million, the Term Loan Deferred Cash Interest Amount (as defined in the Credit Agreement) owed to Dialectic and accrued interest thereon, divided by $5.1940, the current conversion price of the Convertible Notes; and (ii) the Conversion Warrant (as defined below). Conversion Warrant On June 1, 2026, as additional consideration for the Conversion, the Company issued to Dialectic a warrant (the "Conversion Warrant") to purchase up to 105,911 shares of Common Stock at an exercise price of $5.1940 per share (the "Conversion Warrant Exercise Price") (equal to the conversion price of the Convertible Notes in effect following the reset period ending March 31, 2026), at any time until the fifth anniversary of the issuance of the Conversion Warrant. The exercise price and the number of shares underlying the Conversion Warrant are subject to adjustment in the event of specified events, including dilutive issuances at a price lower than the exercise price of the Conversion Warrant, a subdivision or combination of the Common Stock, a reclassification of the Common Stock or specified dividend payments, subject to certain limitations as set forth in the Conversion Warrant. Upon exercise, the aggregate exercise price may be paid, at Dialectic's election, in cash or on a net issuance basis, based upon the then current market price of the Common Stock at the time of exercise. The Conversion Warrant includes certain antidilution protections in favor of Dialectic, subject to certain limitations, including limitations that restrict Dialectic from beneficially owning more than 19.99% of the Company's outstanding Common Stock and certain exclusions. Additionally, Dialectic may require the Company to repurchase the unexercised portion of the Conversion Warrant for an amount equal to $844,255, proportionately adjusted for the portion of the Conversion Warrant subject to repurchase, after the fourth anniversary of the issuance of the Conversion Warrant, or, prior to the fourth anniversary, upon a change of control of the Company or immediately prior to the occurrence of a voluntary dissolution, liquidation or winding up of the affairs of the Company. Amendment to Forbearance Warrant and Warrant Registration Rights Agreement In connection with the issuance of the Conversion Warrant, on June 1, 2026, the Company and Dialectic entered into (i) a First Amendment ("Registration Rights Agreement Amendment") to the Warrant Registration Rights Agreement, pursuant to which, among other things, the Warrant Registration Rights Agreement was amended to provide Dialectic with certain registration rights with respect to the shares of Common Stock issuable upon any exercise of the Conversion Warrant and (ii) a First Amendment ("Forbearance Warrant Amendment") to the Forbearance Warrant, pursuant to which, among other things, the Forbearance Warrant was amended to update its terms to be consistent with the Conversion Warrant. Right of First Refusal Agreement On June 1, 2026, the Company entered into a Right of First Refusal Agreeme

Cross-References

Insider Activity (last 365d)
4 transactions
1 buys · 0 sales · 0 awards/exercises
Issuer Cluster
11 13D/G filings on this issuer
10 other filings besides this one
Filer Track Record
2 filings by this filer
1 other filing in the data moat
Short Interest · settle 2026-07-15
DTC 2.86
2,288,430 shares short · +6.6% vs prior

Post-Filing Returns · since 2026-06-04 on QMCO

+1 day
0.0%
+5 days
0.0%
+30 days
0.0%
+60 days
+90 days
+180 days

Anchor price 10.13 on closest trading day on/after 2026-06-04. Source: Yahoo Finance daily adj_close (split + dividend adjusted).

Form 4 Insider Transactions · last 365d

DateInsiderRoleTypeSharesPriceValue
2026-06-04 FICHTHORN JOHN director, 10%+ owner C 11,020,645 $5.19 $57.24M
2026-06-04 FICHTHORN JOHN director, 10%+ owner Award 3,083,975 $5.19 $16.02M
2026-06-04 FICHTHORN JOHN director, 10%+ owner C 57,241,228 $5.19 $297.31M
2026-06-01 FICHTHORN JOHN director, 10%+ owner J 105,911 $5.19 $550K

Other 13D/G Filings on QUANTUM CORP /DE/

FiledFormFilerStakeShares
2026-01-12 SCHEDULE Dialectic Technology SPV LLC 41.40% 9,691,228 view →
2025-02-21 SCHEDULE Blue Torch Capital LP 2.30% 135,763 view →
2025-01-07 SCHEDULE PACIFIC INVESTMENT MANAGEMENT CO LLC 16.70% 962,127 view →
2023-07-14 SC PACIFIC INVESTMENT MANAGEMENT CO LLC view →
2022-08-12 SC PACIFIC INVESTMENT MANAGEMENT CO LLC view →
2022-06-10 SC B. Riley Financial, Inc. view →
2021-04-28 SC B. Riley Financial, Inc. view →
2021-02-08 SC B. Riley Financial, Inc. view →
2020-04-29 SC B. Riley Financial, Inc. view →
2020-03-11 SC VIEX Capital Advisors, LLC view →

Other Filings by Dialectic Technology SPV LLC

FiledFormIssuerStakeShares
2026-01-12 SCHEDULE QUANTUM CORP /DE/ QMCO 41.40% 9,691,228 view →

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