8-K 1 dzsi-8k_20191106.htm 8-K dzsi-8k_20191106.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of Earliest Event Reported): November 6, 2019

 

DASAN ZHONE SOLUTIONS, INC.

(Exact Name of Registrant as Specified in its Charter)

 

 

 

 

Delaware

000-32743

22-3509099

(State or Other Jurisdiction

of Incorporation)

(Commission

File No.)

(I.R.S. Employer

Identification No.)

 

7195 Oakport Street

Oakland, California 94621

(Address of Principal Executive Offices, Including Zip Code)

 

(510) 777-7000

(Registrant’s Telephone Number, Including Area Code)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common stock, $0.001 par value

DZSI

The Nasdaq Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

 

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

As previously reported on a Current Report on Form 8-K filed on August 30, 2019 with the Securities and Exchange Commission (the “SEC”), Michael Golomb resigned as Chief Financial Officer, Corporate Treasurer and Corporate Secretary of Dasan Zhone Solutions, Inc. (the “Company”) effective as of August 30, 2019.  On November 5, 2019, Il Yung Kim, President and Chief Executive Officer of the Company, was appointed to serve as Interim Chief Financial Officer and Treasurer of the Company during the pendency of the Company’s search for Mr. Golomb’s replacement.  Mr. Kim will continue to serve in his role as President and Chief Executive Officer during his tenure as Interim Chief Financial Officer and Treasurer.  The information regarding Mr. Kim required by Items 401(b), (d) and (e) of Regulation S-K can be found in the Company’s definitive proxy statement for its 2019 Annual Meeting of Stockholders filed with the SEC on April 9, 2019. Mr. Kim is not party to any related party transactions required to be reported pursuant to Item 404(a) of Regulation S-K.

 

2

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

 

 

 

 

 

 

Date: November 6, 2019

 

DASAN Zhone Solutions, Inc.

 

 

 

 

 

 

 

By:

 

/s/ Il Yung Kim

 

 

 

 

Il Yung Kim

 

 

 

 

President, Chief Executive Officer, Interim Chief Financial Officer and Treasurer

 

3