Home > Insider Trading > Filing (0001209191-16-154690)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
883107	Nanophase Technologies Corp	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	2016-12-12	24,000	$0.74	482,115	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2016-09-22	15,000	$0.30	15,000	$0.30
Common Stock	Stock Option (right to buy)	Disposition	2016-09-22	15,000	$0.42	15,000	$0.42
Common Stock	Stock Option (right to buy)	Disposition	2016-09-22	10,000	$0.52	10,000	$0.52
Common Stock	Common Stock (right to buy)	Disposition	2016-09-22	4,500	$0.44	4,500	$0.44

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2013-08-07	2022-08-07	No	4	X	Direct
0	2014-02-14	2023-02-14	No	4	X	Direct
5,000	2015-02-13	2024-02-13	No	4	X	Direct
9,000	2016-02-18	2025-02-18	No	4	X	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	Common Stock (right to buy)	$0.42	2017-02-23	2026-02-23	12,150	12,150	Direct
Common Stock	Common Stock (right to buy)	$0.90	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to buy)	$1.05	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to buy)	$1.18	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to buy)	$0.84	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to buy)	$1.85	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to buy)	$1.10	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to buy)	$0.99	2016-11-17	2026-11-17	2,000	2,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-01-31	10,000	10,000	Direct
	20,030	20,030	Direct
2026-02-23	12,150	12,150	Direct
2026-11-17	2,000	2,000	Direct
2026-11-17	2,000	2,000	Direct
2026-11-17	2,000	2,000	Direct
2026-11-17	2,000	2,000	Direct
2026-11-17	2,000	2,000	Direct
2026-11-17	2,000	2,000	Direct
2026-11-17	2,000	2,000	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.
Subject to certain rights and restrictions, options vest in three equal annual installments.
The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued at identical exercise prices to the conversion prices of the respective stock appreciation rights. 2,000 were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85, 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99.