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ZHONE TECHNOLOGIES INC 4

Accession 0001209191-15-064708

CIK 0001101680operating
View on SEC.govCompany Profile

Filed

Aug 6, 8:00 PM ET

Accepted

Aug 7, 5:49 PM ET

Size

21.7 KB

Accession

0001209191-15-064708

Insider Transaction Report

Form 4
Period: 2015-08-05
ZHONE TECHNOLOGIES INCZHNE
EJABAT MORTEZA
DirectorCEO & President
Transactions
  • Exercise/Conversion

    Common Stock

    2015-08-06$1.65/sh+24,024$39,640→ 506,836 total
  • Disposition to Issuer

    Common Stock

    2015-08-05$1.86/sh−14,520$27,078→ 482,812 total
  • Exercise/Conversion

    Common Stock

    2015-08-05$1.65/sh+14,520$23,958→ 497,332 total
  • Exercise/Conversion

    Employee Stock Option

    2015-08-07−6,746→ 1,357,360 total
    Exercise: $1.65From: 2012-09-02Exp: 2015-09-02→ Common Stock (6,746 underlying)
  • Exercise/Conversion

    Employee Stock Option

    2015-08-06−24,024→ 1,364,106 total
    Exercise: $1.65From: 2012-09-02Exp: 2015-09-02→ Common Stock (24,024 underlying)
  • Exercise/Conversion

    Employee Stock Option

    2015-08-05−14,520→ 1,388,130 total
    Exercise: $1.65From: 2012-09-02Exp: 2015-09-02→ Common Stock (14,520 underlying)
  • Disposition to Issuer

    Commons Stock

    2015-08-07$1.75/sh−6,746$11,806→ 482,812 total
  • Exercise/Conversion

    Common Stock

    2015-08-07$1.65/sh+6,746$11,131→ 489,558 total
  • Disposition to Issuer

    Common Stock

    2015-08-06$1.80/sh−24,024$43,298→ 482,812 total
Holdings

  • Common Stock

    (indirect: By Trust)
    14,100

  • Common Stock

    (indirect: By Trust)
    14,100

  • Common Stock

    (indirect: See Note 2)
    781,674
Footnotes (3)
  • [F1]The Price in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.75 to $1.92 per share. Mr. Ejabat has provided to the Company and, upon request, will provide any security holder of the Company or the SEC staff information regarding the number of shares sold at each price within that range.
  • [F2]Held by Mr. Ejabat as Trustee of the Morteza Ejabat Trust Under Declaration of Trust Dated May 19, 1998.
  • [F3]These constitute options to purchase shares of the Company's common stock.

Documents

1 file

Issuer

ZHONE TECHNOLOGIES INC

CIK 0001101680

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001101680

Filing Metadata

Form type
4
Filed
Aug 6, 8:00 PM ET
Accepted
Aug 7, 5:49 PM ET
Size
21.7 KB
View on SEC.gov