DZS INC. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2017-12-01: Form 8-K; Period of report 2017-12-01; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
- 2017-11-01: Form 8-K; Period of report 2017-11-01; Description 2.02 Results of Operations and Financial Condition; Details 2.02.
- 2017-10-30: Form 8-K; Period of report 2017-10-30; Description 5.07 Submission of Matters to a Vote of Security Holders; 5.08 Shareholder Director Nominations; Details 5.07.
- 2017-10-12: Form 8-K; Period of report 2017-10-12; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2017-12-01 | 8-K | 2017-12-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 Effective as of December 1, 2017, DASAN Zhone Solutions, Inc. (the "Company") appointed Mikhail ("Michael") Golomb as Chief Financial Officer, Corporate Treasurer and Secretary of the Company. | dzsi8-kemploymentagreement.htm |
| 2017-11-01 | 8-K | 2017-11-01 | 2.02 Results of Operations and Financial Condition | 2.02 On November 1, 2017, DASAN Zhone Solutions, Inc. issued a press release announcing its third quarter 2017 results. | dzsi-form_8kxq3x2017xearni.htm |
| 2017-10-30 | 8-K | 2017-10-30 | 5.07 Submission of Matters to a Vote of Security Holders; 5.08 Shareholder Director Nominations | 5.07 On October 30, 2017, DASAN Zhone Solutions, Inc. (the “Company”) held its 2017 annual meeting of stockholders. 5.08 The Company has tentatively set May 9, 2018 as the date for its 2018 annual meeting of stockholders. | dzsi8-kx2017annualmeeting_.htm |
| 2017-10-12 | 8-K | 2017-10-12 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On October 11, 2017, DASAN Zhone Solutions, Inc. (formerly known as Zhone Technologies, Inc.) (the “Company”) filed a Current Report on Form 8-K (the “Original Form 8-K”) with the Securities and Exchange Commission to report that, on October 10, 2017, the Company entered into an Amended and Restated Employment Agreement (the “Restated Employment Agreement”) with Il Yung Kim, the Company’s President, Chief Executive Officer and Acting Chief Financial Officer. | dzsi8-kamendmentrerestated.htm |
| 2017-10-11 | 8-K | 2017-10-11 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On October 10, 2017, DASAN Zhone Solutions, Inc. (formerly known as Zhone Technologies, Inc.) (the “Company”) entered into an Amended and Restated Employment Agreement (the “Restated Employment Agreement”) with Il Yung Kim, the Company’s President, Chief Executive Officer and Acting Chief Financial Officer. | dzsi8-krerestatedemploymen.htm |
| 2017-10-05 | 8-K | 2017-10-05 | 8.01 Other Events | 8.01 On October 4, 2017, DASAN Zhone Solutions, Inc. (the “Company”) received a letter from The NASDAQ Stock Market LLC (“Nasdaq”) stating that the Company has regained compliance with Nasdaq Listing Rule 5250(c)(1) and is in compliance with other applicable requirements required for listing on the Nasdaq. | dzsi-form8xkxnasdaqletter.htm |
| 2017-09-11 | 8-K | 2017-09-11 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.08 Shareholder Director Nominations | 5.02 On September 11, 2017, DASAN Zhone Solutions, Inc. (formerly known as Zhone Technologies, Inc.) (the “Company”) announced management transition changes in connection with the first anniversary of the merger with Dasan Network Solutions, Inc. (“DNS”), and the progress successfully attained in the integration of the businesses of legacy Zhone and DNS. 5.08 The Company has provisionally set October 30, 2017 as the date for its 2017 annual meeting of stockholders. | a8-kchangeindirectorsandof.htm |
| 2017-08-09 | 8-K | 2017-08-09 | 2.02 Results of Operations and Financial Condition | 2.02 On August 9, 2017, DASAN Zhone Solutions, Inc. issued a press release announcing its second quarter 2017 results. | dzsi-form8kq22017earningsr.htm |
| 2017-07-06 | 8-K | 2017-07-03 | 1.01 Entry into a Material Definitive Agreement | 1.01 As previously announced by DASAN Zhone Solutions, Inc. (formerly known as Zhone Technologies, Inc., the “Company” and, with respect to periods prior to the Merger (as defined below), “Legacy Zhone”), due to an internal investigation to determine whether any financial statements of Legacy Zhone prior to the quarter ended June 30, 2016 contain material errors, the filing of the Company’s Annual Report on Form 10-K for the year ended December 31, 2016 was delayed beyond the extended filing due date. | dzsi8-kwfbextensionjuly201.htm |
| 2017-06-30 | 8-K | 2017-06-27 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On June 27, 2017, DASAN Zhone Solutions, Inc. (the "Company") and Eric Presworsky, Chief Technology Officer of the Company, entered into an agreement setting forth the terms pursuant to which Mr. Presworsky will cease to be an officer and employee of the Company effective July 11, 2017. | dzsi-form8k62817.htm |
| 2017-06-08 | 8-K | 2017-06-07 | 8.01 Other Events | 8.01 On June 7, 2017, DASAN Zhone Solutions, Inc. (the “Company”) received a letter from The NASDAQ Stock Market LLC (“Nasdaq”) stating that the Nasdaq Hearings Panel (the “Panel”) has granted the Company’s request for continued listing on The Nasdaq Capital Market provided that, on or before September 27, 2017, the Company shall have filed with the Securities and Exchange Commission (the “SEC”) its Annual Report on Form 10-K for the year ended December 31, 2016 (the “Form 10-K”) and Quarterly Report on Form 10-Q for the period ended March 31, 2017 (the “Form 10-Q”). | us-docsx89850723xv2dzsixfo.htm |
| 2017-05-18 | 8-K | 2017-05-17 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On May 17, 2017, DASAN Zhone Solutions, Inc. (the "Company") received a letter from the staff of the Listing Qualifications Department (the “Staff”) of The NASDAQ Stock Market LLC (“NASDAQ”) stating the Company was not in compliance with NASDAQ Listing Rule 5250(c)(1) (the “Rule”), due to its failure to timely file its Quarterly Report on Form 10-Q for the quarter ended March 31, 2017, and that this filing delinquency serves as an additional basis for delisting the Company’s securities from the Nasdaq Stock Market that will be considered by the Nasdaq Hearings Panel (the “Panel”) at the Company’s scheduled hearing before the Panel on May 25, 2017. | us-docsx87855667xv2dzsifor.htm |
| 2017-05-16 | 8-K | 2017-05-16 | 2.02 Results of Operations and Financial Condition | 2.02 On May 16, 2017, DASAN Zhone Solutions, Inc. issued a press release announcing its first quarter 2017 results. | dzsi-form8kq12017earningsr.htm |
| 2017-05-09 | 8-K | 2017-05-05 | 1.01 Entry into a Material Definitive Agreement | 1.01 As previously announced by DASAN Zhone Solutions, Inc. (formerly known as Zhone Technologies, Inc., the “Company” and, with respect to periods prior to the Merger (as defined below), “Legacy Zhone”), due to an internal investigation to determine whether any financial statements of Legacy Zhone prior to the quarter ended June 30, 2016 contain material errors, the filing of the Company’s Annual Report on Form 10-K for the year ended December 31, 2016 was delayed beyond the extended filing due date. | us-docsx87267931xv2dzsi8xk.htm |
| 2017-04-25 | 8-K | 2017-04-20 | 8.01 Other Events | 8.01 On April 20, 2017, DASAN Zhone Solutions, Inc. (the “Company”) received a letter from The NASDAQ Stock Market LLC (“Nasdaq”) indicating that a Nasdaq Hearings Panel (the “Panel”) had granted the Company’s request to extend the stay of the suspension of trading in the Company’s common stock pending the Company’s scheduled hearing on May 25, 2017 before the Panel and a final determination regarding the Company’s listing status. | dzsi8-krenasdaqextensionap.htm |
| 2017-04-11 | 8-K | 2017-04-06 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 As previously reported in its Form 12b-25 filed with the Securities and Exchange Commission (the "SEC") on April 3, 2017, DASAN Zhone Solutions, Inc. (the "Company") was unable to timely file its Annual Report on Form 10-K for the year ended December 31, 2016 (the "2016 Form 10-K") due to the identification of material errors in the consolidated financial statements of the Company in periods prior to the acquisition of Dasan Network Solutions, Inc. ("DNS") on September 9, 2016 (the "Merger"), and an ongoing independent investigation relating thereto. | dzsi8-krenasdaqletterapril.htm |
| 2017-04-03 | 8-K/A | 2017-03-21 | 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review | 4.02 (a) Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review. | dzsi8-karelegacyzhonefinan.htm |
| 2017-03-22 | 8-K | 2017-03-21 | 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review | 4.02 (a) Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review. | us-docsx83219692xv3dzsi8xk.htm |
| 2017-03-01 | 8-K | 2017-02-27 | 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 5.07 Submission of Matters to a Vote of Security Holders | 5.03 On February 28, 2017, DASAN Zhone Solutions, Inc. (the “Company”) filed a Certificate of Amendment (the “Certificate of Amendment”) to its Restated Certificate of Incorporation with the Secretary of State of the State of Delaware, which Certificate of Amendment effected a one-for-five reverse stock split (the “Reverse Stock Split”) of the Company’s outstanding shares of common stock, par value $0.001 per share (the “Common Stock”). 5.07 On February 27, 2017, the Company held a special meeting of stockholders. | a8kreversesplit312017.htm |
| 2017-02-24 | 8-K | 2017-02-20 | 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review | 4.02 (a) Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review. | dzsi8-krestatement2242017.htm |
| 2017-02-21 | 8-K | 2017-02-21 | 2.02 Results of Operations and Financial Condition | 2.02 On February 21, 2017, DASAN Zhone Solutions, Inc. issued a press release announcing its fourth quarter 2016 results. | dzsi-form8k02212017.htm |
| 2017-02-09 | 8-K | 2017-02-07 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On February 7, 2017, DASAN Zhone Solutions, Inc. (the “Company”) received a letter from The Nasdaq Stock Market (“Nasdaq”) indicating that, for the last 30 consecutive business days preceding the date of the letter, the bid price of the Company’s common stock had closed below the $1.00 minimum per share bid price required for continued inclusion on The Nasdaq Capital Market under Marketplace Rule 5550(a)(2). | dzsi8-krenasdaqletter2817.htm |
| 2017-01-10 | 8-K | 2017-01-04 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On January 4, 2017, the Board of Directors (the “Board”) of DASAN Zhone Solutions, Inc., a Delaware corporation (the “Company”), approved the DASAN Zhone Solutions, Inc. 2017 Incentive Award Plan (the “2017 Plan”), subject to stockholder approval at the Company’s 2017 annual meeting of stockholders. | dzsi8-kequityplan1102017.htm |