0001181431-13-062672.txt : 20131213 0001181431-13-062672.hdr.sgml : 20131213 20131213113918 ACCESSION NUMBER: 0001181431-13-062672 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131211 FILED AS OF DATE: 20131213 DATE AS OF CHANGE: 20131213 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: 131275437 MAIL ADDRESS: STREET 1: 1954 GREENSPRING DRIVE STREET 2: SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 4 1 rrd397346.xml X0306 4 2013-12-11 0 0001101680 ZHONE TECHNOLOGIES INC ZHNE 0001005550 KRAMLICH C RICHARD 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 1 0 0 0 Common Stock 2013-12-11 4 S 0 38597 4.5476 D 5306 D Common Stock 2013-12-12 4 S 0 4927 4.4678 D 379 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.43 to $4.73, 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 (1) 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 $4.45 to $4.51, 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. /s/ Sasha Keough, attorney-in-fact 2013-12-13