SEC Form 4 · accession 0001209191-17-061053
NANOPHASE TECHNOLOGIES Corp · NANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Cesario
Officer — Chief Financial Officer
Period of report
Nov 14, 2017
Accepted (ET)
Nov 16, 2017 · 9:04 am 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 | Nov 14, 2017 | M | 7,400 | $0.30 | A | 91,183 | D | |
| Common Stock | Nov 14, 2017 | S | 7,400 | $0.61 | D | 83,783 | D | |
| Common Stock | Nov 15, 2017 | M | 6,167 | $0.30 | A | 89,950 | D | |
| Common Stock | Nov 15, 2017 | S | 6,167 | $0.61 | D | 83,783 | D | |
| Common Stock | Nov 15, 2017 | M | 13,000 | $0.42 | A | 96,783 | D | |
| Common Stock | Nov 15, 2017 | S | 13,000 | $0.59 | D | 83,783 | D |
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 | $0.30 | Nov 15, 2017 | M | 13,667 | D | Aug 7, 2013 | Aug 7, 2022 | Common Stock | 13,667 | 0 | D |
| Common Stock (right to buy)F1 | $0.415 | Nov 15, 2017 | M | 13,000 | D | Feb 14, 2014 | Feb 14, 2023 | Common Stock | 13,000 | 0 | D |
| Common Stock (right to buy)F1 | $1.07 | holding | — | — | — | Jun 24, 2010 | Jun 24, 2019 | Common Stock | 20,000 | 20,000 | D |
| Common Stock (right to buy)F1 | $1.70 | holding | — | — | — | May 3, 2011 | May 3, 2020 | Common Stock | 20,000 | 20,000 | 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 | $0.52 | holding | — | — | — | Feb 13, 2015 | Feb 13, 2024 | Common Stock | 40,000 | 40,000 | D |
| Common Stock (right to buy)F1 | $0.44 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 36,000 | 36,000 | D |
| Common StockF1 | $0.42 | holding | — | — | — | Feb 23, 2017 | Feb 23, 2026 | Common Stock | 31,500 | 31,500 | D |
| Common StockF1 | $0.68 | holding | — | — | — | Feb 21, 2018 | Feb 21, 2027 | Common Stock | 36,000 | 36,000 | D |
Explanation of responses
- F1Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.