Filing Details

Accession Number:
0001209191-18-033337
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-25 10:43:28
Reporting Period:
2014-09-03
Accepted Time:
2018-05-25 10:43:28
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
1417929 A George Vincent 1319 Marquette Drive
Romeoville IL 60446
Yes 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 2014-09-03 20,618 $0.51 20,618 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock (right to purchase) Acquisiton 2018-05-23 10,000 $0.82 10,000 $0.82
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,000 2019-05-23 2028-05-23 No 4 A 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) $1.36 2012-01-31 2021-01-31 12,000 12,000 Direct
Common Stock Deferred Common Stock $0.00 2,250 12,652 Direct
Common Stock Common Stock (right to purchase) $0.30 2013-08-07 2022-08-07 12,000 12,000 Direct
Common Stock Common Stock (right to purchase) $0.42 2014-02-14 2023-02-14 10,000 10,000 Direct
Common Stock Common Stock (right to purchase) $0.52 2015-02-13 2024-02-13 10,000 10,000 Direct
Common Stock Common Stock (right to purchase) $0.44 2016-02-18 2025-02-18 9,000 9,000 Direct
Common Stock Common Stock (right to purchase) $0.42 2017-02-23 2026-02-23 8,100 8,100 Direct
Common Stock Common Stock (right to purchase) $0.90 2016-11-17 2026-11-17 2,250 2,250 Direct
Common Stock Common Stock (right to purchase) $1.05 2016-11-17 2026-11-17 2,250 2,250 Direct
Common Stock Common Stock (right to purchase) $1.18 2016-11-17 2026-11-17 2,250 2,250 Direct
Common Stock Common Stock (right to purchase) $0.84 2016-11-17 2026-11-17 2,250 2,250 Direct
Common Stock Common Stock (right to purchase) $1.85 2016-11-17 2026-11-17 2,250 2,250 Direct
Common Stock Common Stock (right to purchase) $1.10 2016-11-17 2026-11-17 2,250 2,250 Direct
Common Stock Common Stock (right to purchase) $0.99 2016-11-17 2026-11-17 2,250 2,250 Direct
Common Stock Common Stock (right to purchase) $0.68 2018-02-21 2027-02-21 10,000 10,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-01-31 12,000 12,000 Direct
2,250 12,652 Direct
2022-08-07 12,000 12,000 Direct
2023-02-14 10,000 10,000 Direct
2024-02-13 10,000 10,000 Direct
2025-02-18 9,000 9,000 Direct
2026-02-23 8,100 8,100 Direct
2026-11-17 2,250 2,250 Direct
2026-11-17 2,250 2,250 Direct
2026-11-17 2,250 2,250 Direct
2026-11-17 2,250 2,250 Direct
2026-11-17 2,250 2,250 Direct
2026-11-17 2,250 2,250 Direct
2026-11-17 2,250 2,250 Direct
2027-02-21 10,000 10,000 Direct
Footnotes
  1. These shares of common stock were purchased in the open market during an open trading window for Company officers and directors. The Form 4s filed by the reporting person after September 3, 2014 and prior to the date of this Form 4 did not reflect these shares as being owned by the reporting person.
  2. Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
  3. Each share of deferred common stock represents a right to receive one share of common stock.
  4. The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
  5. Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 12,652 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
  6. 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 with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.