0001181431-13-060797.txt : 20131127
0001181431-13-060797.hdr.sgml : 20131127
20131127105738
ACCESSION NUMBER: 0001181431-13-060797
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131125
FILED AS OF DATE: 20131127
DATE AS OF CHANGE: 20131127
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ZHONE TECHNOLOGIES INC
CENTRAL INDEX KEY: 0001101680
STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661]
IRS NUMBER: 223509099
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 7195 OAKPORT STREET
CITY: OAKLAND
STATE: CA
ZIP: 94621
BUSINESS PHONE: 5107777000
MAIL ADDRESS:
STREET 1: 7195 OAKPORT STREET
CITY: OAKLAND
STATE: CA
ZIP: 94621
FORMER COMPANY:
FORMER CONFORMED NAME: TELLIUM INC
DATE OF NAME CHANGE: 20000911
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KRAMLICH C RICHARD
CENTRAL INDEX KEY: 0001005550
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-32743
FILM NUMBER: 131246056
MAIL ADDRESS:
STREET 1: 1954 GREENSPRING DRIVE
STREET 2: SUITE 600
CITY: TIMONIUM
STATE: MD
ZIP: 21093
4
1
rrd396303.xml
X0306
4
2013-11-25
0
0001101680
ZHONE TECHNOLOGIES INC
ZHNE
0001005550
KRAMLICH C RICHARD
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM
MD
21093
1
0
0
0
Common Stock
2013-11-25
4
M
0
9854
.5
A
92934
D
Common Stock
2013-11-25
4
S
0
9854
5.464
D
83080
D
Common Stock
2013-11-26
4
M
0
32146
.5
A
115226
D
Common Stock
2013-11-26
4
M
0
10000
1.4
A
125226
D
Common Stock
2013-11-26
4
M
0
21938
1.89
A
147164
D
Common Stock
2013-11-26
4
S
0
64084
5.464
D
83080
D
Common Stock
2013-11-26
4
S
0
39177
5.411
D
43903
D
Director Stock Option (right to buy)
.5
2013-11-25
4
M
0
9854
0
D
2015-11-17
Common Stock
9854
32146
D
Director Stock Option (right to buy)
.5
2013-11-26
4
M
0
32146
0
D
2015-11-17
Common Stock
32146
0
D
Director Stock Option (right to buy)
1.4
2013-11-26
4
M
0
10000
0
D
2016-05-14
Common Stock
10000
0
D
Director Stock Option (right to buy)
1.89
2013-11-26
4
M
0
21938
0
D
2017-05-12
Common Stock
21938
28062
D
The stock option vested monthly over 48 months from the date of grant. The stock option expires seven years from the date of grant, unless it expires sooner pursuant to the terms of the Issuer's 2001 Stock Incentive Plan.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.45 to $5.51, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.45 to $5.53, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.39 to $5.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
/s/ Sasha Keough, attorney-in-fact
2013-11-27