0001209191-16-141057.txt : 20160913 0001209191-16-141057.hdr.sgml : 20160913 20160913120502 ACCESSION NUMBER: 0001209191-16-141057 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160909 FILED AS OF DATE: 20160913 DATE AS OF CHANGE: 20160913 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Norrod James D CENTRAL INDEX KEY: 0001613900 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32743 FILM NUMBER: 161882375 MAIL ADDRESS: STREET 1: C/O ZHONE TECHNOLOGIES, INC. STREET 2: 7195 OAKPORT STREET CITY: OAKLAND STATE: CA ZIP: 94621 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-09-09 0 0001101680 DASAN ZHONE SOLUTIONS INC DZSI 0001613900 Norrod James D C/O DASAN ZHONE SOLUTIONS, INC. 7195 OAKPORT STREET OAKLAND CA 94621 1 1 0 0 Co-Chief Executive Officer Employee Stock Option (Right to buy) 1.19 2016-09-09 4 A 0 1000000 0.00 A 2026-09-09 Common Stock 1000000 0 D The option vests in 48 equal monthly installments over the course of four years beginning on October 9, 2016. /s/Laura Larsen-Misunas as Power of Attorney 2016-09-13