SEC Form 4/A · accession 0001209191-19-010417
DASAN ZHONE SOLUTIONS INC · DZSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Mikhail Golomb
Officer — Chief Financial Officer
Period of report
Jul 9, 2018
Accepted (ET)
Feb 14, 2019 · 6:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001101680
Table I — non-derivative securities
No Table I lines on this filing.
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 Buy)F1,F2 | $10.22 | Jul 9, 2018 | A | 35,000 | D | — | Jul 9, 2028 | Common Stock | 35,000 | 0 | D |
Explanation of responses
- F1The Option will vest over a three-year vesting schedule with one-third (1/3) vesting on December 1, 2018 and the remaining two-thirds (2/3) vesting in twenty-four (24) equal monthly installments.
- F2This amendment is being filed solely to reflect the amended vesting schedule.