Filing Details

Accession Number:
0001181431-13-060797
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-27 10:57:38
Reporting Period:
2013-11-25
Filing Date:
2013-11-27
Accepted Time:
2013-11-27 10:57:38
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1101680 Zhone Technologies Inc ZHNE Telephone & Telegraph Apparatus (3661) 223509099
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1005550 Richard C Kramlich 1954 Greenspring Drive
Suite 600
Timonium MD 21093
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-25 9,854 $0.50 92,934 No 4 M Direct
Common Stock Disposition 2013-11-25 9,854 $5.46 83,080 No 4 S Direct
Common Stock Acquisiton 2013-11-26 32,146 $0.50 115,226 No 4 M Direct
Common Stock Acquisiton 2013-11-26 10,000 $1.40 125,226 No 4 M Direct
Common Stock Acquisiton 2013-11-26 21,938 $1.89 147,164 No 4 M Direct
Common Stock Disposition 2013-11-26 64,084 $5.46 83,080 No 4 S Direct
Common Stock Disposition 2013-11-26 39,177 $5.41 43,903 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Director Stock Option (right to buy) Disposition 2013-11-25 9,854 $0.00 9,854 $0.50
Common Stock Director Stock Option (right to buy) Disposition 2013-11-26 32,146 $0.00 32,146 $0.50
Common Stock Director Stock Option (right to buy) Disposition 2013-11-26 10,000 $0.00 10,000 $1.40
Common Stock Director Stock Option (right to buy) Disposition 2013-11-26 21,938 $0.00 21,938 $1.89
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
32,146 2015-11-17 No 4 M Direct
0 2015-11-17 No 4 M Direct
0 2016-05-14 No 4 M Direct
28,062 2017-05-12 No 4 M Direct
Footnotes
  1. The stock option vested monthly over 48 months from the date of grant. The stock option expires seven years from the date of grant, unless it expires sooner pursuant to the terms of the Issuer's 2001 Stock Incentive Plan.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.45 to $5.51, 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.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.45 to $5.53, 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 (3) to this Form 4.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.39 to $5.46, 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 (4) to this Form 4.