DZS INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 61 rows in 2024. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-12-31: Reporting owner Carbone Barbara; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2024-12-31: Reporting owner Kim Joon Kyung; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2024-12-31: Reporting owner Yoo Choon Yul; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2024-12-31: Reporting owner Bross Matthew W; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2024-12-31 | Carbone Barbara Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | no price filed | 2025-01-02 | |
| 2024-12-31 | Kim Joon Kyung Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | no price filed | 2025-01-02 | |
| 2024-12-31 | Yoo Choon Yul Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | no price filed | 2025-01-02 | |
| 2024-12-31 | Bross Matthew W Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | no price filed | 2025-01-02 | |
| 2024-12-31 | Jackson Todd Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | no price filed | 2025-01-02 | |
| 2024-12-31 | Choi Woong Ji Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | no price filed | 2025-01-02 | |
| 2024-10-01 | Ferguson Justin K. Officer (Chief Legal Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,668 0 owned after | no price filed | 2024-10-02 | |
| 2024-10-01 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,250 owned after | no price filed | 2024-10-02 | |
| 2024-09-30 | Choi Woong Ji Director, 10% Owner | 4/A | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | no price filed | 2024-10-08 | |
| 2024-09-30 | Kim Joon Kyung Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | no price filed | 2024-10-02 | |
| 2024-09-30 | Carbone Barbara Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | no price filed | 2024-10-02 | |
| 2024-09-30 | Bross Matthew W Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | no price filed | 2024-10-02 | |
| 2024-09-30 | Yoo Choon Yul Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | no price filed | 2024-10-02 | |
| 2024-09-30 | Choi Woong Gee Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | no price filed | 2024-10-02 | |
| 2024-09-30 | Jackson Todd Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | no price filed | 2024-10-02 | |
| 2024-09-20 | Marthi Raghu Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,750 8,750 owned after | no price filed | 2024-09-23 | |
| 2024-09-06 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,667 83,333 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Marthi Raghu Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Marthi Raghu Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Marthi Raghu Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 50,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Choi Woong Gee Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Choi Woong Gee Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Reiss Gunter Officer (Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Reiss Gunter Officer (Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Reiss Gunter Officer (Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 16,667 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | VOGT CHARLES D Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | VOGT CHARLES D Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | VOGT CHARLES D Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200,000 400,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Chesnut Brian Officer (Chief Accounting Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Jackson Todd Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Jackson Todd Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Bross Matthew W Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Bross Matthew W Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Yoo Choon Yul Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Yoo Choon Yul Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Ferguson Justin K. Officer (Chief Legal Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Ferguson Justin K. Officer (Chief Legal Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Ferguson Justin K. Officer (Chief Legal Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 100,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Kim Joon Kyung Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Kim Joon Kyung Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Carbone Barbara Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | no price filed | 2024-09-10 | |
| 2024-09-06 | Carbone Barbara Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | no price filed | 2024-09-10 | |
| 2024-08-02 | Kawecki Misty Dawn Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,668 0 owned after | no price filed | 2024-08-06 | |
| 2024-07-01 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 2,500 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 1,668 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,333 13,334 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Ferguson Justin K. Officer (Chief Legal Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 2,500 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Ferguson Justin K. Officer (Chief Legal Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Ferguson Justin K. Officer (Chief Legal Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,698 16,698 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Reiss Gunter Officer (Chief Marketing Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Marthi Raghu Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,666 6,668 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | VOGT CHARLES D Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −66,668 0 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | VOGT CHARLES D Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −66,792 66,792 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Kawecki Misty Dawn Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | no price filed | 2024-07-03 | |
| 2024-07-01 | Kawecki Misty Dawn Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,698 16,698 owned after | no price filed | 2024-07-03 | |
| 2024-06-10 | Alonso Miguel Officer (Chief Product Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 0 owned after | no price filed | 2024-06-11 | |
| 2024-05-01 holding as of filing | Marthi Raghu Officer (Chief Operating Officer) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2024-05-01 | ||
| 2024-05-01 holding as of filing | Marthi Raghu Officer (Chief Operating Officer) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2024-05-01 | ||
| 2024-02-10 | Reiss Gunter Officer (Chief Customer Officer, AEMEA) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,750 17,500 owned after | no price filed | 2024-04-19 |