SEC Form 4 · accession 0000933430-16-000013
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
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 4:50 pm EST
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 | Nov 11, 2016 | P | 5,228 | $0.65 | A | 10,379,985 | D | |
| Common StockF1 | Nov 11, 2016 | P | 10,000 | $0.645 | A | 10,389,985 | D | |
| Common StockF1 | Nov 11, 2016 | P | 10,000 | $0.6439 | A | 10,399,985 | D | |
| Common StockF1 | Nov 11, 2016 | P | 1,000 | $0.64 | A | 10,400,985 | D | |
| Common StockF1 | Nov 11, 2016 | P | 1,250 | $0.624 | A | 10,402,235 | D | |
| Common StockF1 | Nov 11, 2016 | P | 5,200 | $0.60 | A | 10,407,435 | 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 10,407,435 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 as General Partner of Grace Investments, Ltd. of 601,410 shares.