Filing Details

Accession Number:
0001209191-18-050849
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-09-13 16:22:57
Reporting Period:
2018-09-10
Accepted Time:
2018-09-13 16:22:57
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
1173970 Janet R Whitmore 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 2018-09-10 200 $0.84 1,280,606 No 4 P Direct
Common Stock Acquisiton 2018-09-12 3,346 $0.76 1,283,952 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 135,584 Indirect By Daughter
Common Stock 102,909 Indirect By Son
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 10,000 10,000 Direct
Common Stock Deferred Common Stock $0.00 2,000 20,030 Direct
Common Stock Common Stock (right to purchase) $0.30 2013-08-07 2022-08-07 10,000 10,000 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 2,000 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
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-01-31 10,000 10,000 Direct
2,000 20,030 Direct
2022-08-07 10,000 10,000 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 2,000 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
Footnotes
  1. Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
  2. Each share of deferred common stock represents a right to receive one share of common stock.
  3. The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
  4. 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 Compensation Plan.
  5. Beginning on this date, subject to certain restrictions, the stock option vests in three equal annual installments.
  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 at identical exercise prices to the conversion prices of the respective stock appreciation rights. 2,000 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.