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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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
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

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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	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

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.
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.
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.
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.