SEC Form 4 · accession 0000933430-17-000005
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
Dec 19, 2017
Accepted (ET)
Dec 21, 2017 · 4:46 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 Stock | Dec 19, 2017 | P | 2,500,000 | $0.40 | A | 12,907,435 | D | |
| Common StockF1 | holding | — | — | — | 2,433,300 | I | by Grace Brothers, Ltd. | |
| Common StockF2 | holding | — | — | — | 601,410 | I | by Grace Investments, Ltd. | |
| Common Stock | holding | — | — | — | 51,454 | I | by daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As General Partner of Grace Brothers, Ltd., Bradford T. Whitmore is an indirect beneficial owner of 2,433,300 shares of Common Stock.
- F2As General Partner of Grace Investments, Ltd., Bradford T. Whitmore is an indirect beneficial owner of 601,410 shares of Common Stock.