Filing Details
- Accession Number:
- 0000950170-24-064742
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-05-24 17:13:41
- Reporting Period:
- 2024-05-22
- Accepted Time:
- 2024-05-24 17:13:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1173970 | Janet R Whitmore | 1319 Marquette Drive Romeoville IL 60446 | No | No | 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 | 2024-05-22 | 3,295 | $1.38 | 1,671,307 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-22 | 100 | $1.35 | 1,671,407 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-22 | 4,900 | $1.34 | 1,676,307 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-22 | 100 | $1.35 | 1,676,407 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-23 | 4,000 | $1.37 | 1,680,407 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-23 | 1,000 | $1.37 | 1,681,407 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-23 | 725 | $1.37 | 1,682,132 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-24 | 4,820 | $1.37 | 1,686,952 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2024-05-24 | 100 | $1.35 | 1,687,052 | 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 | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Deferred Common Stock | $0.00 | 20,030 | 20,030 | Direct | ||
| Common Stock | Common Stock (right to purchase) | $0.90 | 2016-11-17 | 2026-11-17 | 2,000 | 2,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.05 | 2016-11-17 | 2026-11-17 | 2,000 | 2,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.18 | 2016-11-17 | 2026-11-17 | 2,000 | 2,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.84 | 2016-11-17 | 2026-11-17 | 2,000 | 2,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.85 | 2016-11-17 | 2026-11-17 | 2,000 | 2,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.10 | 2016-11-17 | 2026-11-17 | 2,000 | 2,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.99 | 2016-11-17 | 2026-11-17 | 2,000 | 2,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.68 | 2018-02-21 | 2027-02-21 | 10,000 | 10,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.82 | 2019-05-23 | 2028-05-23 | 10,000 | 10,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.45 | 2021-06-18 | 2027-06-18 | 6,667 | 6,667 | Direct |
| Common Stock | Common Stock (right to purchase) | $4.17 | 2022-12-28 | 2028-12-28 | 20,000 | 20,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $1.17 | 2023-12-20 | 2029-12-20 | 20,000 | 20,000 | Direct |
| Common Stock | Common Stock (right to purchase) | $0.61 | 2024-12-27 | 2030-12-27 | 12,600 | 12,600 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 20,030 | 20,030 | Direct | |
| 2026-11-17 | 2,000 | 2,000 | Direct |
| 2026-11-17 | 2,000 | 2,000 | Direct |
| 2026-11-17 | 2,000 | 2,000 | Direct |
| 2026-11-17 | 2,000 | 2,000 | Direct |
| 2026-11-17 | 2,000 | 2,000 | Direct |
| 2026-11-17 | 2,000 | 2,000 | Direct |
| 2026-11-17 | 2,000 | 2,000 | Direct |
| 2027-02-21 | 10,000 | 10,000 | Direct |
| 2028-05-23 | 10,000 | 10,000 | Direct |
| 2027-06-18 | 6,667 | 6,667 | Direct |
| 2028-12-28 | 20,000 | 20,000 | Direct |
| 2029-12-20 | 20,000 | 20,000 | Direct |
| 2030-12-27 | 12,600 | 12,600 | Direct |
Footnotes
- Each share of deferred common stock represents the right to receive one share of common stock.
- The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
- Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensaion Plan.
- The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued at identical exercise prices to the conversion prices of the respective stock appreciation rights. Two-thousand shares were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85. 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99.
- Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
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