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Filing Details

Accession Number:: 0001209191-19-049199
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-09-11 17:08:42
Reporting Period:: 2019-09-06

Accepted Time:: 2019-09-11 17:08:42
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
1173970	Janet R Whitmore	1319 Marquette Drive Romeoville IL 60446		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2019-09-06	10,200	$0.42	1,296,267	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	135,584	Indirect	By Daughter
Common Stock	102,909	Indirect	By Son

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Common Stock (right to purchase)	$1.36	2012-01-31	2021-01-31	10,000	10,000	Direct
Common Stock	Deferred Common Stock	$0.00			2,000	20,030	Direct
Common Stock	Common Stock (right to purchase)	$0.30	2013-08-07	2022-08-07	10,000	10,000	Direct
Common Stock	Common Stock (right to purchase)	$0.42	2014-02-14	2023-02-14	10,000	10,000	Direct
Common Stock	Common Stock (right to purchase)	$0.52	2015-02-13	2024-02-13	10,000	10,000	Direct
Common Stock	Common Stock (right to purchase)	$0.44	2016-02-18	2025-02-18	9,000	9,000	Direct
Common Stock	Common Stock (right to purchase)	$0.42	2017-02-23	2026-02-23	8,100	8,100	Direct
Common Stock	Common Stock (right to purchase)	$0.90	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to purchase)	$1.05	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to purchase)	$1.18	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to purchase)	$0.84	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to purchase)	$1.85	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to purchase)	$1.10	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to purchase)	$0.99	2016-11-17	2026-11-17	2,000	2,000	Direct
Common Stock	Common Stock (right to purchase)	$0.68	2018-02-21	2027-02-21	10,000	10,000	Direct
Common Stock	Common Stock (right to purchase)	$0.82	2019-05-23	2028-05-23	10,000	10,000	Direct
Common Stock	Common Stock (right to purchase)	$0.51	2020-05-22	2029-05-22	10,000	10,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-01-31	10,000	10,000	Direct
	2,000	20,030	Direct
2022-08-07	10,000	10,000	Direct
2023-02-14	10,000	10,000	Direct
2024-02-13	10,000	10,000	Direct
2025-02-18	9,000	9,000	Direct
2026-02-23	8,100	8,100	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
2027-02-21	10,000	10,000	Direct
2028-05-23	10,000	10,000	Direct
2029-05-22	10,000	10,000	Direct

Footnotes

Subject to certain rights and 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.
Beginning on this date, subject to certain restrictions, the stock option vests 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.