Quantum grants director Fichthorn 12,000 stock units

The director and 10% owner reported 40,896 directly held shares and 14,104,620 shares held by Dialectic Technology SPV LLC.

Rhea-AI Filing Summary

Quantum Corp director and 10% owner John Fichthorn received 12,000 restricted stock units on October 1, 2026; each unit represents a contingent right to receive one common share. The units vest in full on the earlier of October 1, 2027, or the date of Quantum's next annual meeting of stockholders, subject to continued board service. After the grant, Fichthorn reported 40,896 directly held shares. Dialectic Technology SPV LLC directly held 14,104,620 shares, reported as indirectly held by Fichthorn, who disclaims beneficial ownership except to the extent of any pecuniary interest.

Insider Trade Summary

Grant/Award: 12,000 shares

Grant/Award 2 txns

Insider FICHTHORN JOHN

Role Director, 10% Owner

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	12,000	$0.00	$0.00
holding	Common Stock F2	--	--	--

Holdings After Transaction: Common Stock — 40,896 shares (Direct); Common Stock — 14,104,620 shares (Indirect, by Dialectic Technology SPV LLC)

Footnotes (2)

1. F1. Grant of restricted stock units (RSUs), each of which represents a contingent right to receive one share of common stock of QMCO. The RSUs vest in full on the earlier of October 1, 2027 or the date of the Companys next annual meeting of stockholders, in each case subject to the Reporting Persons continued service on the Companys Board of Directors.
2. F2. These shares are held directly by Dialectic Technology SPV LLC (Dialectic), a 10% holder of the Issuer and indirectly by the Reporting Person. Dialectic Technology Manager LLC is the Manager of Dialectic, and the Reporting Person is the Manager of Dialectic Technology Manager LLC. The Reporting Person disclaims beneficial ownership of these shares held by Dialectic, except to the extent of the Reporting Persons pecuniary interest therein, if any.

Key Figures

Restricted stock units granted: 12,000 restricted stock units Direct shares following grant: 40,896 shares Shares held by Dialectic Technology SPV LLC: 14,104,620 shares +1 more

4 metrics

Restricted stock units granted 12,000 restricted stock units Granted October 1, 2026

Direct shares following grant 40,896 shares John Fichthorn's directly held common stock following the grant

Shares held by Dialectic Technology SPV LLC 14,104,620 shares Held directly by the LLC and reported as indirectly held by John Fichthorn

First possible full-vesting date October 1, 2027 Units vest on the earlier of this date or the date of Quantum's next annual meeting, subject to continued board service

Key Terms

restricted stock units (RSUs), beneficial ownership, pecuniary interest

3 terms

restricted stock units (RSUs) financial

"Grant of restricted stock units (RSUs)"

Restricted stock units (RSUs) are a type of company promise to give employees shares of stock in the future, usually after certain conditions like working for a set time. They are like a gift promised today that you receive later, which can become valuable if the company's stock price goes up. RSUs matter because they are a way companies reward employees and can be a significant part of compensation.

beneficial ownership regulatory

"disclaims beneficial ownership of these shares"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

pecuniary interest financial

"except to the extent of the Reporting Persons pecuniary interest therein"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many restricted stock units did QMCO director John Fichthorn receive?

John Fichthorn received 12,000 restricted stock units on October 1, 2026. Each unit represents a contingent right to receive one share of common stock.

When do John Fichthorn's QMCO restricted stock units vest?

The units vest in full on the earlier of October 1, 2027, or the date of Quantum's next annual meeting of stockholders, subject to Fichthorn's continued service on the board.

How many QMCO shares does John Fichthorn hold through Dialectic Technology SPV LLC?

Dialectic Technology SPV LLC directly held 14,104,620 shares, reported as indirectly held by John Fichthorn. He disclaimed beneficial ownership of those shares except to the extent of any pecuniary interest.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/05/2026 - 05:20 PM Accepted by SEC EDGAR 10/05/2026 - 05:20 PM Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

FICHTHORN JOHN

(Last) (First) (Middle)

C/O QUANTUM CORPORATION

10770 E. BRIARWOOD AVE.

(Street)

CENTENNIAL COLORADO 80112

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
QUANTUM CORP /DE/ [ QMCO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/01/2026		A		12,000(1)	A	$0	40,896	D
Common Stock								14,104,620	I	by Dialectic Technology SPV LLC(2)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Grant of restricted stock units (RSUs), each of which represents a contingent right to receive one share of common stock of QMCO. The RSUs vest in full on the earlier of October 1, 2027 or the date of the Companys next annual meeting of stockholders, in each case subject to the Reporting Persons continued service on the Companys Board of Directors.

2. These shares are held directly by Dialectic Technology SPV LLC (Dialectic), a 10% holder of the Issuer and indirectly by the Reporting Person. Dialectic Technology Manager LLC is the Manager of Dialectic, and the Reporting Person is the Manager of Dialectic Technology Manager LLC. The Reporting Person disclaims beneficial ownership of these shares held by Dialectic, except to the extent of the Reporting Persons pecuniary interest therein, if any.

Remarks:

	Tara Ilges, attorney-in-fact for John A. Fichthorn	10/05/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)