Home > Insider Trading > Filing (0000950170-24-109324)

Filing Details

Accession Number:: 0000950170-24-109324
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-09-25 16:00:04
Reporting Period:: 2024-09-23

Accepted Time:: 2024-09-25 16:00:04
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2024-09-23	26,000	$1.59	1,979,909	No	4	P	Direct
Common Stock	Acquisiton	2024-09-24	23,150	$1.60	2,003,059	No	4	P	Direct
Common Stock	Acquisiton	2024-09-24	200	$1.59	2,003,259	No	4	P	Direct
Common Stock	Acquisiton	2024-09-24	550	$1.55	2,003,809	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct
No	4	P	Direct

Reported Derivative Holdings

Show Other Fields >>

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

The purchase of these 26,000 shares was made through 10 trades, all at $1.59/share. The trades were made throughout the day, with the smallest purchases (3 different transactions) being 100 shares and the largest being 6,000 shares. The average purchased amount among these transactions was 2,600 shares.
The purchase of these 23,150 shares was made through 3 trades, all at $1.60/share. The trades amounted to 3,000, 20,050, and 100 shares, respectively.
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.