SEC Form 4/A · accession 0001209191-18-033695
NANOPHASE TECHNOLOGIES Corp · NANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kevin Cureton
Officer — Chief Commercial Officer
Period of report
May 23, 2018
Accepted (ET)
May 29, 2018 · 11:01 am 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 | 80,000 | A | May 23, 2019 | May 23, 2028 | Common Stock | 80,000 | 80,000 | D |
| Common Stock (right to purchase)F1 | $0.30 | holding | — | — | — | Nov 28, 2013 | Nov 28, 2022 | Common Stock | 52,000 | 52,000 | D |
| Common Stock (right to purchase)F1 | $0.415 | holding | — | — | — | Feb 14, 2014 | Feb 14, 2023 | Common Stock | 48,000 | 48,000 | D |
| Common Stock (right to purchase)F1 | $0.52 | holding | — | — | — | Feb 13, 2015 | Feb 13, 2024 | Common Stock | 75,000 | 75,000 | D |
| Common Stock (right to purchase)F1 | $0.44 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 50,000 | 50,000 | D |
| Common Stock (right to purchase)F1 | $0.42 | holding | — | — | — | Feb 23, 2017 | Feb 23, 2026 | Common Stock | 43,500 | 43,500 | D |
| Common Stock (right to purchase)F1 | $0.68 | holding | — | — | — | Feb 21, 2018 | Feb 21, 2027 | 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.
Remarks
Form amended to reflect Mr. Cureton's promotion to the Company's Chief Commercial Officer, effective January 1, 2018. There was no change to the reported transaction.