Filing Details
- Accession Number:
- 0001209191-14-054140
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-25 12:09:27
- Reporting Period:
- 2014-08-22
- Filing Date:
- 2014-08-25
- Accepted Time:
- 2014-08-25 11:09:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 883107 | Nanophase Technologies Corporation | NANX | Miscellaneous Primary Metal Products (3390) | 363687863 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1182603 | A James Henderson | 1319 Marquette Drive Romeoville IL 60446 | 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-08-22 | 47,500 | $0.47 | 207,500 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-08-22 | 2,500 | $0.47 | 210,000 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-08-22 | 15,000 | $0.47 | 225,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $1.36 | 2012-01-31 | 2021-01-31 | 10,000 | 10,000 | Direct |
| Common Stock | Deferred Common Stock | $0.00 | 20,030 | 20,030 | Direct | ||
| Common Stock | Stock Appreciation Right | $0.00 | 14,000 | 14,000 | Direct | ||
| Common Stock | Stock Option (right to buy) | $0.30 | 2013-08-07 | 2022-08-07 | 15,000 | 15,000 | Direct |
| Common Stock | Stock Option (right to buy) | $0.42 | 2014-02-14 | 2023-02-14 | 15,000 | 15,000 | Direct |
| Common Stock | Stock Option (right to buy) | $0.52 | 2015-02-13 | 2024-02-13 | 15,000 | 15,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-01-31 | 10,000 | 10,000 | Direct |
| 20,030 | 20,030 | Direct | |
| 14,000 | 14,000 | Direct | |
| 2022-08-07 | 15,000 | 15,000 | Direct |
| 2023-02-14 | 15,000 | 15,000 | Direct |
| 2024-02-13 | 15,000 | 15,000 | Direct |
Footnotes
- Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
- Each share of deferred common stock represents a right to receive one share of common stock.
- The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
- Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
- The stock appreciation right becomes payable upon the reporting person's termination of service as a director of the Company. 2,000 were issued 4/8/2009 at a conversion price of $0.90, 2,000 were issued 7/1/2009 at a conversion price of $1.05, 2,000 were issued 10/1/2009 at a conversion price of $1.18, 2,000 were issued 1/4/2010 at a conversion price of $0.84, 2,000 were issued 4/1/2010 at a conversion price of $1.85, 2,000 were issued 7/1/2010 at a conversion price of $1.10, and 2,000 were issued 10/1/2010 at a conversion price of $0.99.
- Subject to certain rights and restrictions, options vest in three equal annual installments.
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