SEC Form 4 · accession 0001209191-15-015867
NANOPHASE TECHNOLOGIES Corp · NANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Baldwin
Officer — VP Human Resources & IT
Period of report
Feb 18, 2015
Accepted (ET)
Feb 19, 2015 · 12:37 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 | holding | — | — | — | 987 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $0.44 | Feb 18, 2015 | A | 36,000 | A | Feb 18, 2016 | Feb 18, 2025 | Common | 36,000 | 36,000 | D |
| Common Stock (right to buy)F1 | $6.01 | holding | — | — | — | Sep 27, 2007 | Sep 27, 2016 | Common Stock | 7,500 | 7,500 | D |
| Common Stock (right to buy)F1 | $4.48 | holding | — | — | — | Nov 6, 2008 | Nov 6, 2017 | Common Stock | 9,000 | 9,000 | D |
| Common Stock (right to buy)F1 | $3.14 | holding | — | — | — | May 12, 2009 | May 12, 2018 | Common Stock | 15,000 | 15,000 | D |
| Common Stock (right to buy)F1 | $1.02 | holding | — | — | — | May 4, 2010 | May 4, 2019 | Common Stock | 30,000 | 30,000 | D |
| Common Stock (right to buy)F1 | $1.70 | holding | — | — | — | May 3, 2011 | May 3, 2020 | Common Stock | 27,000 | 27,000 | D |
| Common Stock (right to buy)F1 | $1.26 | holding | — | — | — | May 2, 2012 | May 2, 2021 | Common Stock | 31,000 | 31,000 | D |
| Common Stock (right to buy)F1 | $0.30 | holding | — | — | — | Aug 7, 2013 | Aug 7, 2022 | Common Stock | 41,000 | 41,000 | D |
| Common Stock (right to buy)F1 | $0.415 | holding | — | — | — | Feb 14, 2014 | Feb 14, 2023 | Common Stock | 39,000 | 39,000 | D |
| Common Stock (right to buy)F1 | $0.52 | holding | — | — | — | Feb 13, 2015 | Feb 13, 2024 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.