Filing Details
- Accession Number:
- 0001209191-13-029787
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-31 10:29:48
- Reporting Period:
- 2013-05-30
- Filing Date:
- 2013-05-31
- Accepted Time:
- 2013-05-31 10:29:48
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 883107 | Nanophase Technologies Corporation | NANX | Miscellaneous Primary Metal Products (3390) | 363687863 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1267497 | Frank Cesario | 1319 Marquette Drive Romeoville IL 60446 | Chief Financial 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 | 2013-05-30 | 450 | $0.45 | 30,450 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock (right to buy) | $1.07 | 2010-06-24 | 2019-06-24 | 20,000 | 20,000 | Direct |
| Common Stock | Common Stock (right to buy) | $1.70 | 2011-05-03 | 2020-05-03 | 20,000 | 20,000 | Direct |
| Common Stock | Common Stock (right to buy) | $1.26 | 2012-05-02 | 2021-05-02 | 31,000 | 31,000 | Direct |
| Common Stock | Common Stock (right to buy) | $0.30 | 2013-08-07 | 2022-08-07 | 41,000 | 41,000 | Direct |
| Common Stock | Common Stock (right to buy) | $0.42 | 2014-02-14 | 2023-02-14 | 39,000 | 39,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-06-24 | 20,000 | 20,000 | Direct |
| 2020-05-03 | 20,000 | 20,000 | Direct |
| 2021-05-02 | 31,000 | 31,000 | Direct |
| 2022-08-07 | 41,000 | 41,000 | Direct |
| 2023-02-14 | 39,000 | 39,000 | Direct |
Footnotes
- Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
Billionaire Hedge Funds
