Home > Insider Trading > Filing (0001209191-21-056457)

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
1563513	Kevin Cureton	1319 Marquette Drive Romeoville IL 60446	Chief Operating Officer	No	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
Common Stock	Acquisiton	2021-09-14	52,000	$0.30	52,000	No	4	M	Direct
Common Stock	Disposition	2021-09-14	2,800	$2.30	49,200	No	4	S	Direct
Common Stock	Disposition	2021-09-15	5,350	$2.30	43,850	No	4	S	Direct
Common Stock	Disposition	2021-09-16	17,000	$2.22	26,850	No	4	S	Direct
Common Stock	Disposition	2021-09-16	1,200	$2.26	25,650	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Common Stock (right to purchase)	Disposition	2021-09-14	52,000	$0.30	52,000	$0.30

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2013-11-28	2022-11-28	No	4	M	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)	$0.42	2014-02-14	2023-02-14	48,000	48,000	Direct
Common Stock	Common Stock (right to purchase)	$0.52	2015-02-13	2024-02-13	75,000	75,000	Direct
Common Stock	Common Stock (right to purchase)	$0.44	2016-02-18	2025-02-18	50,000	50,000	Direct
Common Stock	Common Stock (right to purchase)	$0.42	2017-02-23	2026-02-23	43,500	43,500	Direct
Common Stock	Common Stock (right to purchase)	$0.68	2018-02-21	2027-02-21	50,000	50,000	Direct
Common Stock	Common Stock (right to purchase)	$0.82	2019-05-23	2028-05-23	80,000	80,000	Direct
Common Stock	Common Stock (right to purchase)	$0.51	2020-05-22	2029-05-22	16,500	16,500	Direct
Common Stock	Common Stock (right to purchase)	$0.45	2021-06-18	2027-06-18	90,000	90,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2023-02-14	48,000	48,000	Direct
2024-02-13	75,000	75,000	Direct
2025-02-18	50,000	50,000	Direct
2026-02-23	43,500	43,500	Direct
2027-02-21	50,000	50,000	Direct
2028-05-23	80,000	80,000	Direct
2029-05-22	16,500	16,500	Direct
2027-06-18	90,000	90,000	Direct

Footnotes

Mr. Cureton has exercised shares from his November 28, 2012 option grant to avoid the risk of expiration. In light of the blackout requirements within the Company's Policy on Insider Trading, limited trading windows exist during which these transactions can be completed. Subsequent to exercise, he plans to sell some of the exercised shares reported herein in order to satisfy the costs of exercise and the required income tax withholdings.
Mr. Cureton has exercised shares from his November 28, 2012 option grant to avoid the risk of expiration. In light of the blackout requirements within the Company's Policy on Insider Trading, limited trading windows exist during which these transactions can be completed. The sales reported herein were effected in order to satisfy the costs of exercise and the required income tax withholdings.
Mr. Cureton has exercised shares from his November 28, 2012 option grant to avoid the risk of expiration. In light of the blackout requirements within the Company's Policy on Insider Trading, limited trading windows exist during which these transactions can be completed. Subsequent to exercise, he plans to sell some of the shares exercised in order to satisfy the costs of exercise and the required income tax withholdings.
Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.