Home > Insider Trading > Filing (0001209191-21-067223)

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	2021-11-26	12,607	$0.52	38,257	No	4	M	Direct
Common Stock	Disposition	2021-11-26	12,607	$3.50	25,650	No	4	S	Direct
Common Stock	Acquisiton	2021-11-30	24,000	$0.42	49,650	No	4	M	Direct
Common Stock	Acquisiton	2021-11-30	25,000	$0.52	74,650	No	4	M	Direct
Common Stock	Disposition	2021-11-30	23,829	$3.79	50,821	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
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	2021-11-30	24,000	$0.42	24,000	$0.42
Common Stock	Common Stock	Disposition	2021-11-26	12,607	$0.52	12,607	$0.52
Common Stock	Common Stock (right to purchase)	Disposition	2021-11-30	25,000	$0.52	50,000	$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
0	2014-02-14	2023-02-14	No	4	M	Direct
25,000	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

Following recently reported exercises of 11,668 (11/22/21) and 12,332 (11/24/21) shares, this line item represents the 3rd exercise, of 24,000 shares of the total initial grant of 48,000 shares, leaving a balance of 0 shares remaining relating to this grant.
Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
Following the recently reported exercise of 12,393 shares (11/24/21), this line item represents the 2nd exercise, of 12,607 shares of a total initial grant of 75,000 shares, leaving a balance of 50,000 shares remaining relating to this grant, prior to the 11/30/21 exercise reported below.
Following the recently reported exercise of 12,393 shares (11/24/21), and the 2nd exercise of 12,607 shares (11/26/21, reported above) this line item represents the 3rd exercise, of 25,000 shares of the total initial grant of 75,000 shares, leaving a balance of 25,000 shares remaining relating to this grant.