SEC Form 4 · accession 0000933430-16-000008
NANOPHASE TECHNOLOGIES Corp · NANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradford T Whitmore
10% Owner
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 4:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000883107
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 31, 2016 | P | 5,013 | $0.505 | A | 10,329,522 | D | |
| Common StockF1 | Jun 1, 2016 | P | 100 | $0.505 | A | 10,329,622 | D | |
| Common StockF1 | Jun 1, 2016 | P | 4,735 | $0.5049 | A | 10,334,357 | D | |
| Common StockF1 | Jun 2, 2016 | P | 10,200 | $0.5089 | A | 10,344,557 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,344,557 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and General Partner of Grace Investments, Ltd. of 601,410 shares.