Filing Details

Accession Number:
0001209191-22-037945
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-06-17 17:01:40
Reporting Period:
2022-06-13
Accepted Time:
2022-06-17 17:01:40
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
1184478 Jess Jankowski 1319 Marquette Drive
Romeoville IL 60446
President, Ceo Yes 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 2022-06-13 7,800 $0.30 66,800 No 4 M Direct
Common Stock Disposition 2022-06-13 7,800 $3.00 59,000 No 4 S Direct
Common Stock Acquisiton 2022-06-15 12,485 $0.30 71,485 No 4 M Direct
Common Stock Disposition 2022-06-15 12,485 $3.00 59,000 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 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 2022-06-13 7,800 $0.30 63,845 $0.30
Common Stock Common Stock (right to purchase) Disposition 2022-06-15 12,485 $0.30 56,045 $0.30
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
56,045 2013-08-07 2022-08-07 No 4 M Direct
43,560 2013-08-07 2022-08-07 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,000 Indirect Spouse's IRA
Common Stock 59,000 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 90,000 90,000 Direct
Common Stock Common Stock (right to purchase) $0.52 2015-02-13 2024-02-13 90,000 90,000 Direct
Common Stock Common Stock (right to purchase) $0.44 2016-02-18 2025-02-18 81,000 81,000 Direct
Common Stock Common Stock (right to purchase) $0.42 2017-02-23 2026-02-23 69,000 69,000 Direct
Common Stock Common Stock (right to purchase) $0.68 2018-02-21 2027-02-21 81,000 81,000 Direct
Common Stock Common Stock (right to purchase) $0.82 2019-05-23 2028-05-23 90,000 90,000 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
Common Stock Common Stock (right to purchase) $4.17 2022-12-28 2028-12-28 90,000 90,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2023-02-14 90,000 90,000 Direct
2024-02-13 90,000 90,000 Direct
2025-02-18 81,000 81,000 Direct
2026-02-23 69,000 69,000 Direct
2027-02-21 81,000 81,000 Direct
2028-05-23 90,000 90,000 Direct
2029-05-22 16,500 16,500 Direct
2027-06-18 90,000 90,000 Direct
2028-12-28 90,000 90,000 Direct
Footnotes
  1. This transaction was communicated to the reporting person on June 17th due to a clerical error.
  2. These options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings.
  3. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
  4. Subject to certain restrictions, beginning on this date, options vest in three equal installments.
  5. Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.