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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 1/2/20 |
| Not Subject to Section 16: 0 |
| Issuer: |
| Issuer CIK: 1101680 |
| Issuer Name: DASAN ZHONE SOLUTIONS INC |
| Issuer Trading Symbol: DZSI |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1736324 |
| | Owner Name: Unterberger Rolf |
| Reporting Owner Address: |
| | Owner Street 1: C/O DASAN ZHONE SOLUTIONS, INC. |
| | Owner Street 2: 7195 OAKPORT ST. |
| | Owner City: OAKLAND |
| | Owner State: CA |
| | Owner ZIP Code: 94621 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? No |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 1/2/20 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 7,181 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 0.00 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 16,450 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: Represents restricted stock units issued to the reporting person that will vest in four equal installments on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020, subject to the reporting person's continued service to the issuer on each such vesting date. Each restricted stock unit represents the right to receive one share of the company's common stock upon vesting. |
| Remarks: |
| Owner Signature: |
| Signature Name: /s/Laura Larsen-Misunas as Power of Attorney |
| Signature Date: 1/3/20 |
