SEC Form 4 · accession 0001209191-15-076411
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
Oct 21, 2015
Accepted (ET)
Oct 22, 2015 · 12:42 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 | Oct 21, 2015 | M | 270,477 | $0.50 | A | 446,543 | 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 | $0.50 | Oct 21, 2015 | M | 270,477 | D | Nov 17, 2012 | Nov 17, 2015 | Common Stock | 270,477 | 0 | D |
Explanation of responses
- F1The stock option vested monthly over 48 months from the date of grant.