SEC Form 4 · accession 0001209191-15-066037
DASAN ZHONE SOLUTIONS INC · DZSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kirk Misaka
Officer — CFO, Treasurer & Secretary
Period of report
Aug 14, 2015
Accepted (ET)
Aug 14, 2015 · 3:22 pm 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 Stock | Aug 14, 2015 | M | 79,999 | $1.65 | A | 176,066 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $1.65 | Aug 14, 2015 | M | 79,999 | D | Sep 2, 2012 | Sep 2, 2015 | Common Stock | 79,999 | 0 | D |
Explanation of responses
- F1The stock option vested monthly over 48 months from the date of grant.