Filing Details
- Accession Number:
- 0001209191-21-066811
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-24 16:52:01
- Reporting Period:
- 2021-11-22
- Accepted Time:
- 2021-11-24 16:52:01
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-11-22 | 11,668 | $0.42 | 37,318 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-22 | 11,668 | $3.92 | 25,650 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-11-24 | 12,332 | $0.42 | 37,982 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-11-24 | 12,393 | $0.52 | 50,375 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-24 | 24,725 | $3.77 | 25,650 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2021-11-22 | 11,668 | $0.42 | 11,668 | $0.42 |
| Common Stock | Common Stock (right to purchase) | Disposition | 2021-11-24 | 12,332 | $0.42 | 36,332 | $0.42 |
| Common Stock | Common Stock (right to purchase) | Disposition | 2021-11-24 | 12,393 | $0.52 | 75,000 | $0.52 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-02-14 | 2023-02-14 | No | 4 | M | Direct |
| 24,000 | 2014-02-14 | 2023-02-14 | No | 4 | M | Direct |
| 62,607 | 2015-02-13 | 2024-02-13 | 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) | $0.44 | 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 |
|---|---|---|---|
| 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
- This line item represents the 1st sale of 11,668 shares of a total grant of 48,000 shares, leaving a balance of 36,332 shares remaining relating to this grant.
- This line item represents the 2nd sale, of 12,332 shares of a total initial grant of 48,000 shares, leaving a balance of 24,000 shares remaining relating to this grant.
- Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
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