0001209191-18-024615.txt : 20180411 0001209191-18-024615.hdr.sgml : 20180411 20180411151848 ACCESSION NUMBER: 0001209191-18-024615 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180409 FILED AS OF DATE: 20180411 DATE AS OF CHANGE: 20180411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Unterberger Rolf CENTRAL INDEX KEY: 0001736324 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32743 FILM NUMBER: 18749921 MAIL ADDRESS: STREET 1: C/O DASAN ZHONE SOLUTIONS, INC. STREET 2: 7195 OAKPORT ST. CITY: OAKLAND STATE: CA ZIP: 94621 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DASAN ZHONE SOLUTIONS 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: ZHONE TECHNOLOGIES INC DATE OF NAME CHANGE: 20031114 FORMER COMPANY: FORMER CONFORMED NAME: TELLIUM INC DATE OF NAME CHANGE: 20000911 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-04-09 0 0001101680 DASAN ZHONE SOLUTIONS INC DZSI 0001736324 Unterberger Rolf C/O DASAN ZHONE SOLUTIONS, INC. 7195 OAKPORT ST. OAKLAND CA 94621 1 0 0 0 Common Stock 2018-04-09 4 A 0 4525 0.00 A 4525 D Represents restricted stock units issued to the reporting person that will vest in three equal installments on June 30, 2018, September 30, 2018 and December 31, 2018, subject to the reporting person's continued service to the issuer on each such vesting date. Each restricted stock unit represents the right to receive one share of the company's common stock upon vesting. /s/Laura Larsen-Misunas as Power of Attorney 2018-04-11