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Filing Details

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
Common Stock	Acquisiton	2013-12-05	13,185	$1.89	57,088	No	4	M	Direct
Common Stock	Acquisiton	2013-12-05	9,445	$2.49	66,533	No	4	M	Direct
Common Stock	Disposition	2013-12-05	22,630	$5.01	43,903	No	4	S	Direct
Common Stock	Acquisiton	2013-12-06	21,804	$2.49	65,707	No	4	M	Direct
Common Stock	Acquisiton	2013-12-06	17,697	$0.89	83,404	No	4	M	Direct
Common Stock	Acquisiton	2013-12-06	6,246	$0.95	89,650	No	4	M	Direct
Common Stock	Disposition	2013-12-06	45,747	$5.28	43,903	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	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	2013-12-05	13,185	$0.00	13,185	$1.89
Common Stock	Director Stock Option (right to buy)	Disposition	2013-12-05	9,445	$0.00	9,445	$2.49
Common Stock	Director Stock Option (right to buy)	Disposition	2013-12-06	21,804	$0.00	21,804	$2.49
Common Stock	Director Stock Option (right to buy)	Disposition	2013-12-06	17,697	$0.00	17,697	$0.89
Common Stock	Director Stock Option (right to buy)	Disposition	2013-12-06	6,246	$0.00	6,246	$0.95

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
6,251	2017-05-12	No	4	M	Direct
40,555	2018-05-10	No	4	M	Direct
18,751	2018-05-10	No	4	M	Direct
32,303	2019-05-22	No	4	M	Direct
43,754	2020-05-02	No	4	M	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.07, 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 (1) 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 $5.10 to $5.44, 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 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.