QUANTUM CORP /DE/ 10-Q

ITEM 5. OTHER INFORMATION Rule 10b5-1 Trading Arrangement During the period covered by this Quarterly Report, no director or officer of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K. 36 Table of Contents ITEM 6. EXHIBITS The exhibits required to be filed or furnished as part of this Quarterly Report are listed below. Notwithstanding any language to the contrary, exhibits 32.1 and 32.2 shall not be deemed to be filed as part of this Quarterly Report for purposes of Section 18 of the Exchange Act or deemed to be incorporated by reference into any filing under the Exchange Act or the Securities Act of 1933, except to the extent that the Company specifically incorporates it by reference. Incorporated by Reference Exhibit Number Exhibit Description Form Filing Date Exhibit Filed or Furnished Herewith 3.1 Amended and Restated Certificate of Incorporation of the Company, as amended through August 26, 2024 S-1 1/27/25 3.1 3.2 Amended and Restated Bylaws, as amended through June 12, 2025 8-K 6/18/25 3.1 4.1 Warrant to Purchase Common Stock dated September 23, 2025 issued to Dialectic Technology SPV LLC 8-K 9/23/25 4.1 4.2 Registration Rights Agreement dated September 23, 2025 by and between the Company and Dialectic Technology SPV LLC 8-K 9/23/25 4.2 10.1# Offer Letter dated August 27, 2025 by and between the Company and James C. Clancy 8-K 8/28/25 10.1 10.2# Offer Letter dated August 27, 2025 by and between the Company and Tony J. Blevins 8-K 8/28/25 10.2 10.3* Transaction Agreement dated September 23, 2025 by and among the Company, Dialectic Technology SPV LLC, OC III LVS XXXIII LP., and OC III LVS XL LP 8-K 9/23/25 10.1 10.4* Fifteenth Amendment to Term Loan Credit and Security Agreement dated September 23, 2025 by and among the Company, Quantum LTO Holdings, LLC, the borrowers and guarantors party thereto, the lenders party thereto, and Alter Domus (US) LLC, as disbursing agent and collateral agent 8-K 9/23/25 10.2 10.5# Settlement A greement dated July 16, 202 5 by and between Quantum S torage UK Ltd and H.J.W. Spanjaard X 10.6# Separation Agreement and General Release of Claims dated August 20 , 2025, by and between the Company and Lewis W. Moorehead X 31.1 Certification of the Principal Executive Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 X 31.2 Certification of the Principal Financial Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002 X 32.1^ Certification of Principal Executive Officer pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002 X 32.2^ Certification of Principal Financial Officer pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002 X 101.SCH XBRL Taxonomy Extension Schema Document X 101.CAL XBRL Taxonomy Extension Calculation Linkbase Document X 101.DEF XBRL Taxonomy Extension Definition Linkbase Document X 101.LAB XBRL Taxonomy Extension Label Linkbase Document X 101.PRE XBRL Taxonomy Extension Presentation Linkbase Document X 104 Cover page interactive data file, submitted using inline XBRL (contained in Exhibit 101) X * Schedules and attachments have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The registrant hereby undertakes to furnish supplemental copies of any of the omitted schedules and attachments upon request by the Securities and Exchange Commission. # Indicates management contract or compensatory plan or arrangement. ^ This exhibit is not deemed “filed” with the Securities and Exchange Commission and is not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933 or the Securities Exchange Act of 1934, whether made before or after date hereof and irrespective of any general incorporation language contained in such filing. 37 Table of Contents 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) November 13, 2025 /s/ Hugues Meyrath (Date) Hugues Meyrath President and Chief Executive Officer (Principal Executive Officer) November 13, 2025 /s/ Laura A. Nash (Date) Laura A. Nash Chief Accounting Officer (Principal Financial Officer and Principal Accounting Officer) 38