Filing Details

Accession Number:
0000933430-22-000011
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2022-12-16 10:17:35
Reporting Period:
2022-12-15
Accepted Time:
2022-12-16 10:17:35
Original Submission Date:
2022-12-15
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
933430 T Bradford Whitmore 5215 Old Orchard Road
Suite 620
Skokie IL 60077
No No Yes 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 2022-12-15 300,488 $1.10 30,237,731 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 601,410 Indirect By Grace Investments, LP
Common Stock 51,454 Indirect By daughter
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.10 to $1.195. The reporting person undertakes to provide, upon request by the staff of the SEC, the issuer, or a security holder of the issuer, full information regarding the number of shares transacted at each price, with respect to all transactions reported on the Form 4.
  2. As manager of INV-GP, LLC, Grace Investments, LP's General Partner, Bradford T. Whitmore is an indirect beneficial owner of 601,410 shares of Common Stock.
  3. The number of securities beneficially owned were incorrectly reported as 41,454 in the original filing made on 12/15/2022.