SEC Form 4 · accession 0001209191-15-033910
DASAN ZHONE SOLUTIONS INC · DZSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Pierce
Director
Period of report
Apr 7, 2015
Accepted (ET)
Apr 14, 2015 · 11:16 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001101680
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 7, 2015 | D | 10,526 | $0.00 | D | 92,998 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Purchase)F1,F2 | $0.89 | Apr 7, 2015 | D | 16,656 | D | Apr 10, 2015 | May 22, 2019 | Common Stock | 16,656 | 33,344 | D |
Explanation of responses
- F1Transferred to Roger Koenig per the terms of the Separation Agreement filed on April 7, 2015.
- F2Fully Vested Stock Options