Attached files
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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Form 10-Q/A
Amendment No. 1
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| x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | ||
| For the quarterly period ended September 30, 2012 | |||
| OR | |||
| o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | ||
| For the transition period from _______ to _______ | |||
Commission File Number 1-13449
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QUANTUM CORPORATION
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Incorporated Pursuant to the Laws of the State of Delaware
IRS Employer Identification Number 94-2665054
1650 Technology Drive, Suite 800, San Jose, California 95110
(408) 944-4000
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Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934, during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o
Indicate by checkmark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x No o
Indicate by checkmark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definition of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
| Large accelerated filer o | Accelerated filer x | Non-accelerated filer o | Smaller reporting company o |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x
| As of the close of business on November 2, 2012, 240,765,014 shares of Quantum Corporation’s common stock were issued and outstanding. |
EXPLANATORY NOTE
The purpose of this Amendment to Form 10-Q for the quarterly period ended September 30, 2012, originally filed with the Securities and Exchange Commission on November 9, 2012 (the "Form 10-Q"), is solely to file Exhibits 10.2, 10.3 and 10.4 which were inadvertently omitted.
No other changes have been made to the Form 10-Q. This Amendment speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date and does not modify or update in any way disclosures made in the original Form 10-Q.
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SIGNATURE
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 |
| /s/ LINDA M. BREARD |
| Linda M. Breard |
| Chief Financial Officer |
| (Principal Financial and Chief Accounting Officer) |
Date: February 15, 2013
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EXHIBIT INDEX
| Incorporated by Reference | |||||||||||
| Exhibit | |||||||||||
| Number | Exhibit Description | Form | File No. | Exhibit(s) | Filing Date | ||||||
| 3.1 | Amended and Restated Certificate of Incorporation of Registrant. | 8-K | 001-13449 | 3.1 | August 16, 2007 | ||||||
| 3.2 | Amended and Restated By-laws of Registrant, as amended. | 8-K | 001-13449 | 3.1 | December 5, 2008 | ||||||
| 3.3 | Certification of Amendment to the Bylaws of Quantum Corporation, as adopted on January 20, 2010. | 8-K | 001-13449 | 3.1 | January 26, 2010 | ||||||
| 4.1 | Stockholder Agreement, dated as of October 28, 2002, by and between Registrant and Private Capital Management. | 10-Q | 001-13449 | 4.2 | November 13, 2002 | ||||||
| 4.2 | Indenture for 3.50% Convertible Senior Subordinated Notes due 2015, between the Registrant and U.S. Bank National Association, as trustee, dated November 15, 2010, including the form of 3.50% Convertible Senior Subordinated Note due 2015. | 8-K | 001-13449 | 4.1 | November 15, 2010 | ||||||
| 4.3 | Indenture for 4.50% Convertible Senior Subordinated Notes due 2017, between the Registrant and U.S. Bank National Association, as trustee, dated October 31, 2012, including the form of 4.50% Convertible Senior Subordinated Note due 2017. | 8-K | 001-13449 | 4.1 | October 31, 2012 | ||||||
| 10.1 | Quantum Corporation 2012 Long-Term Incentive Plan.* | 8-K | 001-13449 | 10.1 | August 21, 2012 | ||||||
| 10.2 | Form of Restricted Stock Unit Agreement (U.S. Employees), under the Quantum Corporation 2012 Long-Term Incentive Plan.‡* | ||||||||||
| 10.3 | Form of Restricted Stock Unit Agreement (Non-U.S. Employees), under the Quantum Corporation 2012 Long-Term Incentive Plan. ‡* | ||||||||||
| 10.4 | Form of Restricted Stock Unit Agreement (Directors), under the Quantum Corporation 2012 Long-Term Incentive Plan. ‡* | ||||||||||
| 10.5 | Quantum Corporation Employee Stock Purchase Plan.* | 8-K | 001-13449 | 10.2 | August 21, 2012 | ||||||
| 10.6 | Quantum Corporation Executive Officer Incentive Plan, Effective April 1, 2012.* | 8-K | 001-13449 | 10.3 | August 21, 2012 | ||||||
| 31.1 | Certification of the Chief Executive Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002. ‡ | ||||||||||
| 31.2 | Certification of the Chief Financial Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002. ‡ | ||||||||||
| 32.1 | Certification of Chief Executive Officer pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley act of 2002. † | ||||||||||
| 32.2 | Certification of Chief Financial Officer pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley act of 2002. † | ||||||||||
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| Incorporated by Reference | |||||||||||
| Exhibit | |||||||||||
| Number | Exhibit Description | Form | File No. | Exhibit(s) | Filing Date | ||||||
| 101.INS | XBRL Instance Document.†† | ||||||||||
| 101.SCH | XBRL Taxonomy Extension Schema Document.†† | ||||||||||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document.†† | ||||||||||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document.†† | ||||||||||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document.†† | ||||||||||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document.†† | ||||||||||
| * | Indicates management contract or compensatory plan or arrangement. | |
| ‡ | Filed herewith. | |
| † | Furnished herewith. | |
| †† | XBRL (Extensible Business Reporting Language) information is furnished and not filed herewith, is not a part of a registration statement or prospectus for purposes of sections 11 or 12 of the Securities Act of 1933, is deemed not filed for purposes of section 18 of the Securities Exchange Act of 1934, and otherwise is not subject to liability under these sections. |
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