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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
(Exact name of registrant as specified in its charter)
| (State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
| |
||
| (Address of principal executive offices) | (Zip Code) |
(Registrant’s telephone number,
including area code)
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:
| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class |
Trading symbol(s) |
Name of each exchange on which registered | ||
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
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 shareholders of Quantum Corporation (the “Company”) held on August 16, 2022, 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 5, 2022.
Proposal 1. The following directors were elected to serve until the 2023 annual meeting or until their successors are elected and duly qualified:
| For | Against | Abstain | Broker Non-Votes | |||||
| James J. Lerner |
55,007,716 | 5,375,782 | 61,734 | 16,964,034 | ||||
| Marc E. Rothman |
55,147,387 | 5,214,239 | 83,606 | 16,964,034 | ||||
| Rebecca J. Jacoby |
55,074,497 | 5,304,074 | 66,661 | 16,964,034 | ||||
| Yue Zhou (“Emily”) White |
55,165,103 | 5,190,915 | 89,214 | 16,964,034 | ||||
| Christopher D. Neumeyer |
59,325,437 | 1,033,292 | 86,503 | 16,964,034 |
Proposal 2. The approval of an amendment to the Amended and Restated Certificate of Incorporation to increase the number of authorized shares of the Company’s common stock from 125,000,000 to 225,000,000 was approved.
| For |
Against |
Abstain | ||
| 70,243,831 | 7,140,246 | 25,189 |
Proposal 3. The compensation of the Company’s named executive officers was approved, on an advisory basis.
| For |
Against |
Abstain |
Broker Non-Votes | |||
| 57,817,859 | 1,446,970 | 1,180,403 | 16,964,034 |
Proposal 4. The appointment of Armanino LLP as the Company’s independent registered public accounting firm for the fiscal year ending March 31, 2023 was ratified.
| For |
Against |
Abstain | ||
| 76,484,860 | 298,090 | 626,316 |
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 | ||||||
| (Registrant) | ||||||
| August 22, 2022 |
/s/ Brian E. Cabrera | |||||
| (Date) | Brian E. Cabrera | |||||
| Senior Vice President, Chief Legal and Compliance Officer, and Secretary | ||||||
