Filing Details

Accession Number:
0000933430-19-000005
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-05-15 17:28:27
Reporting Period:
2019-05-13
Accepted Time:
2019-05-15 17:28:27
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
933430 T Bradford Whitmore 1603 Orrington Ave., Ste 900
Evanston IL 60201
No No Yes 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 2019-05-13 4,189,000 $0.40 17,096,435 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,433,300 Indirect by Grace Brothers, LP
Common Stock 601,410 Indirect by Grace Investments, LP
Common Stock 51,454 Indirect by daughter
Footnotes
  1. As manager of BRO-GP, LLC, Grace Brothers, LP's General Partner, Bradford T. Whitmore is an indirect beneficial owner of 2,433,300 shares of Common Stock.
  2. As manager of INV-GP, LLC, Grace Investments, LP's General Partner, Bradford T. Whitmore is an indirect beneficial owner of 601,410 shares of Common Stock.