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