GREENE JAMES H JR 4
4 · ZHONE TECHNOLOGIES INC · Filed May 14, 2010
Insider Transaction Report
Form 4
GREENE JAMES H JR
Director
Transactions
- Award
Common Stock
2010-05-12+3,750→ 12,750 total
Holdings
- 9,757(indirect: By Trust)
Common Stock
Footnotes (3)
- [F1]Grant of share award for services by the Reporting Person on the Board of Directors of the Issuer pursuant to the Amended and Restated Zhone Technologies, Inc. 2001 Stock Incentive Plan.
- [F2]On March 11, 2010, the Issuer effected a reverse stock split at an exchange ratio of one-for-five. All of the stock information in this Form 4 reflects this reverse stock split.
- [F3]KKR-ZT, L.L.C. holds 1,791,875 shares of common stock of the Issuer. KKR 1996 GP LLC is the sole general partner of KKR Associates 1996, L.P., which is the sole general partner of KKR 1996 Fund, L.P., which is the senior member of KKR-ZT, L.L.C. The Reporting Person is an executive of Kohlberg Kravis Roberts & Co. L.P. and/or one or more of its affiliates. The Reporting Person disclaims beneficial ownership of the securities that the KKR entities beneficially own or may be deemed to beneficially own, except to the extent of his pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owner of any of such securities.