0001209191-19-030421.txt : 20190516 0001209191-19-030421.hdr.sgml : 20190516 20190516164450 ACCESSION NUMBER: 0001209191-19-030421 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190514 FILED AS OF DATE: 20190516 DATE AS OF CHANGE: 20190516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yim Philip CENTRAL INDEX KEY: 0001776147 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32743 FILM NUMBER: 19832920 MAIL ADDRESS: STREET 1: C/O DASAN ZHONE SOLUTIONS, INC. STREET 2: 7195 OAKPORT STREET 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 2019-05-14 0 0001101680 DASAN ZHONE SOLUTIONS INC DZSI 0001776147 Yim Philip C/O DASAN ZHONE SOLUTIONS, INC. 7195 OAKPORT ST. OAKLAND CA 94621 0 1 0 0 Chief Operations Officer Stock Option (Right to buy) 10.99 2019-05-14 2019-05-14 4 A 0 90000 0.00 A 2029-05-14 Common Stock 90000 0 D The Option will vest over a four year vesting schedule as follows: twenty five percent (25%) of the Option will vest on the first (1st) anniversary of the grant date or May 13, 2020, and the remainder will vest in thirty-six (36) monthly installments thereafter. /s/Laura Larsen-Misunas Power of Attorney 2019-05-16 EX-24.4_853500 2 poa.txt POA DOCUMENT LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned hereby makes, constitutes and appoints Laura Larsen-Misunas and Alex Yastremski, and each of them, as the undersigned's true and lawful attorney-in-fact (the "Attorney-in Fact"), with full power of substitution and resubstitution, each with the power to act alone for the undersigned and in the undersigned's name, place and stead, in any and all capacities to: 1. prepare, execute and file with the Securities and Exchange Commission, any national securities exchange or securities quotation system and Dasan Zhone Solutions, Inc. (the "Company") any and all reports (including any amendment thereto) of the undersigned required or considered advisable under Section 16(a) of the Securities Exchange Act of 1934 (the "Exchange Act") and the rules and regulations thereunder, with respect to the equity securities of the Company, including Forms 3, 4 and 5; and 2. obtain, as the undersigned's representative and on the undersigned's behalf, information regarding transactions in the Company's equity securities from any third party, and the undersigned hereby authorizes any such third party to release any such information to the Attorney-in-Fact. The undersigned acknowledges that: 1. this Limited Power of Attorney authorizes, but does not require, the Attorney-in-Fact to act at his or her discretion on information provided to such Attorney-in-Fact without independent verification of such information; 2. any documents prepared or executed by the Attorney-in-Fact on behalf of the undersigned pursuant to this Limited Power of Attorney will be in such form and will contain such information as the Attorney-in-Fact, in his or her discretion, deems necessary or desirable; 3. neither the Company nor the Attorney-in-Fact assumes any liability for the undersigned's responsibility to comply with the requirements of Section 16 of the Exchange Act, any liability of the undersigned for any failure to comply with such requirements , or any liability of the undersigned for disgorgement of profits under Section 16(b) of the Exchange Act; and 4. this Limited Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned's obligations under Section 16 of the Exchange Act, including, without, limitation, the reporting requirements under Section 16(a) of the Exchange Act. The undersigned hereby grants to the Attorney-in-Fact full power and authority to do and perform each and every act and thing requisite, necessary or convenient to be done in connection with the foregoing, as fully, to all intents and purposes, as the undersigned might or could do in person, hereby ratifying and confirming all that the Attorney-in -Fact, or his or her substitute or substitutes, shall lawfully do or cause to be done by authority of this Limited Power of Attorney. This Limited Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 4 or 5 with respect to the undersigned's transactions in equity securities of the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Attorney-in-Fact. This Limited Power of Attorney shall be governed and construed in accordance the laws of the State of California without regard to conflict-of-law principles . IN WITNESS WHEREOF, the undersigned has executed this Limited Power of Attorney as of May 7, 2019. /s/ Philip Yim Philip Yim