Filing Details
- Accession Number:
- 0001209191-23-034678
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-06-05 20:02:57
- Reporting Period:
- 2023-05-17
- Accepted Time:
- 2023-06-05 20:02:57
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 883107 | Nanophase Technologies Corp | NANX | Perfumes, Cosmetics & Other Toilet Preparations (2844) | 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 | 2023-05-17 | 1,000 | $0.92 | 51,821 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2023-05-18 | 15,590 | $1.04 | 67,411 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2023-05-19 | 10,000 | $1.04 | 77,411 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2023-05-26 | 23,410 | $1.19 | 100,821 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 50,821 | 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) | $0.52 | 2015-02-13 | 2024-02-13 | 25,000 | 25,000 | 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 |
| Common Stock | Common Stock (right to purchase) | $4.17 | 2022-12-28 | 2028-12-28 | 90,000 | 90,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.17 | 2023-12-20 | 2029-12-20 | 72,000 | 72,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-02-13 | 25,000 | 25,000 | 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 |
| 2028-12-28 | 90,000 | 90,000 | Direct |
| 2029-12-20 | 72,000 | 72,000 | Direct |
Footnotes
- 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), 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.
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