Filing Details
- Accession Number:
- 0001209191-18-064156
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-27 12:35:41
- Reporting Period:
- 2018-12-24
- Accepted Time:
- 2018-12-27 12:35:41
- SEC Url:
- Form 4 Filing
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 |
|---|---|---|---|---|---|---|---|
| 1184478 | Jess Jankowski | 1319 Marquette Drive Romeoville IL 60446 | President, Ceo | Yes | Yes | 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 | 2018-12-24 | 8,199 | $0.84 | 47,000 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2018-12-24 | 6,000 | $0.80 | 53,000 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2018-12-24 | 4,395 | $0.79 | 57,395 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2018-12-24 | 1,605 | $0.80 | 59,000 | 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 | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,000 | Indirect | Spouse's IRA |
| Common Stock | 38,801 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock (right to purchase) | $1.02 | 2010-05-04 | 2019-05-04 | 30,000 | 30,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.70 | 2011-05-03 | 2020-05-03 | 27,000 | 27,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.26 | 2012-05-02 | 2021-05-02 | 85,000 | 85,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.30 | 2013-08-07 | 2022-08-07 | 98,000 | 98,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.42 | 2014-02-14 | 2023-02-14 | 90,000 | 90,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.52 | 2015-02-13 | 2024-02-13 | 90,000 | 90,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.44 | 2016-02-18 | 2025-02-18 | 81,000 | 81,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.42 | 2017-02-23 | 2026-02-23 | 69,000 | 69,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.68 | 2018-02-21 | 2027-02-21 | 81,000 | 81,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.82 | 2019-05-23 | 2028-05-23 | 90,000 | 90,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-05-04 | 30,000 | 30,000 | Direct |
| 2020-05-03 | 27,000 | 27,000 | Direct |
| 2021-05-02 | 85,000 | 85,000 | Direct |
| 2022-08-07 | 98,000 | 98,000 | Direct |
| 2023-02-14 | 90,000 | 90,000 | Direct |
| 2024-02-13 | 90,000 | 90,000 | Direct |
| 2025-02-18 | 81,000 | 81,000 | Direct |
| 2026-02-23 | 69,000 | 69,000 | Direct |
| 2027-02-21 | 81,000 | 81,000 | Direct |
| 2028-05-23 | 90,000 | 90,000 | Direct |
Footnotes
- Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
- Subject to certain restrictions, beginning on this date, options vest in three equal installments.
- Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.
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