SEC Form 4 · accession 0001209191-18-033128
NANOPHASE TECHNOLOGIES Corp · NANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Edwin Tyler
Director
Period of report
May 23, 2018
Accepted (ET)
May 24, 2018 · 6:22 pm EDT
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 purchase)F1 | $0.82 | May 23, 2018 | A | 12,000 | A | May 23, 2019 | May 23, 2028 | Common Stock | 12,000 | 12,000 | D |
| Common Stock (right to purchase)F1 | $1.19 | holding | — | — | — | Jan 12, 2012 | Jan 12, 2021 | common stock | 10,000 | 10,000 | D |
| Common Stock (right to purchase)F1 | $0.30 | holding | — | — | — | Aug 7, 2013 | Aug 7, 2022 | common stock | 10,000 | 10,000 | D |
| Common Stock (right to purchase)F1 | $0.415 | holding | — | — | — | Feb 14, 2014 | Feb 14, 2023 | common stock | 12,000 | 12,000 | D |
| Common Stock (right to purchase)F1 | $0.52 | holding | — | — | — | Feb 13, 2015 | Feb 13, 2024 | common stock | 12,000 | 12,000 | D |
| Common Stock (right to purchase)F1 | $0.44 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | common stock | 10,800 | 10,800 | D |
| Common Stock (right to purchase)F1 | $0.42 | holding | — | — | — | Feb 23, 2017 | Feb 23, 2026 | common stock | 9,720 | 9,720 | D |
| Common Stock (right to purchase)F1 | $0.68 | holding | — | — | — | Feb 21, 2018 | Feb 21, 2027 | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.