Filing Details
- Accession Number:
- 0001209191-17-061053
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-16 09:04:31
- Reporting Period:
- 2017-11-14
- Accepted Time:
- 2017-11-16 09:04:31
- 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 |
|---|---|---|---|---|---|---|---|
| 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 | 2017-11-14 | 7,400 | $0.30 | 91,183 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-14 | 7,400 | $0.61 | 83,783 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-11-15 | 6,167 | $0.30 | 89,950 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-15 | 6,167 | $0.61 | 83,783 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-11-15 | 13,000 | $0.42 | 96,783 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-11-15 | 13,000 | $0.59 | 83,783 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock (right to buy) | Disposition | 2017-11-15 | 13,667 | $0.30 | 13,667 | $0.30 |
| Common Stock | Common Stock (right to buy) | Disposition | 2017-11-15 | 13,000 | $0.42 | 13,000 | $0.42 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-08-07 | 2022-08-07 | No | 4 | M | Direct |
| 0 | 2014-02-14 | 2023-02-14 | No | 4 | M | 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) | $0.52 | 2015-02-13 | 2024-02-13 | 40,000 | 40,000 | Direct |
| Common Stock | Common Stock (right to buy) | $0.44 | 2016-02-18 | 2025-02-18 | 36,000 | 36,000 | Direct |
| Common Stock | Common Stock | $0.42 | 2017-02-23 | 2026-02-23 | 31,500 | 31,500 | Direct |
| Common Stock | Common Stock | $0.68 | 2018-02-21 | 2027-02-21 | 36,000 | 36,000 | 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 |
| 2024-02-13 | 40,000 | 40,000 | Direct |
| 2025-02-18 | 36,000 | 36,000 | Direct |
| 2026-02-23 | 31,500 | 31,500 | Direct |
| 2027-02-21 | 36,000 | 36,000 | Direct |
Footnotes
- Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
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