SEC Form 4 · accession 0001209191-16-101804
NANOPHASE TECHNOLOGIES Corp · NANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Cureton
Officer — VP Sales & Mktg & Bus Dev
Period of report
Feb 23, 2016
Accepted (ET)
Feb 24, 2016 · 2:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000883107
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (right to buy)F1 | $0.42 | Feb 23, 2016 | A | 43,500 | A | Feb 23, 2017 | Feb 23, 2026 | Common Stock | 43,500 | 43,500 | D |
| Common Stock (right to buy)F1 | $0.30 | holding | — | — | — | Nov 28, 2013 | Nov 28, 2022 | Common Stock | 52,000 | 52,000 | D |
| Common Stock (right to buy)F1 | $0.415 | holding | — | — | — | Feb 14, 2014 | Feb 14, 2023 | Common Stock | 48,000 | 48,000 | D |
| Common Stock (right to buy)F1 | $0.52 | holding | — | — | — | Feb 13, 2015 | Feb 13, 2024 | Common Stock | 75,000 | 75,000 | D |
| Common StockF1 | $0.44 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.