SEC Form 4 · accession 0001209191-18-064156
NANOPHASE TECHNOLOGIES Corp · NANX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jess Jankowski
Officer — President, CEO · Director
Period of report
Dec 24, 2018
Accepted (ET)
Dec 27, 2018 · 12:35 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 | Dec 24, 2018 | P | 8,199 | $0.84 | A | 47,000 | D | |
| Common Stock | Dec 24, 2018 | P | 6,000 | $0.80 | A | 53,000 | D | |
| Common Stock | Dec 24, 2018 | P | 4,395 | $0.79 | A | 57,395 | D | |
| Common Stock | Dec 24, 2018 | P | 1,605 | $0.80 | A | 59,000 | D | |
| Common Stock | holding | — | — | — | 1,000 | I | Spouse's IRA | |
| Common Stock | holding | — | — | — | 38,801 | 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 purchase)F1 | $1.02 | holding | — | — | — | May 4, 2010 | May 4, 2019 | Common Stock | 30,000 | 30,000 | D |
| Common Stock (right to purchase)F1 | $1.70 | holding | — | — | — | May 3, 2011 | May 3, 2020 | Common Stock | 27,000 | 27,000 | D |
| Common Stock (right to purchase)F1 | $1.26 | holding | — | — | — | May 2, 2012 | May 2, 2021 | Common Stock | 85,000 | 85,000 | D |
| Common Stock (right to purchase)F1 | $0.30 | holding | — | — | — | Aug 7, 2013 | Aug 7, 2022 | Common Stock | 98,000 | 98,000 | D |
| Common Stock (right to purchase)F1 | $0.415 | holding | — | — | — | Feb 14, 2014 | Feb 14, 2023 | Common Stock | 90,000 | 90,000 | D |
| Common Stock (right to purchase)F2 | $0.52 | holding | — | — | — | Feb 13, 2015 | Feb 13, 2024 | Common Stock | 90,000 | 90,000 | D |
| Common Stock (right to purchase)F3 | $0.44 | holding | — | — | — | Feb 18, 2016 | Feb 18, 2025 | Common Stock | 81,000 | 81,000 | D |
| Common Stock (right to purchase)F3 | $0.42 | holding | — | — | — | Feb 23, 2017 | Feb 23, 2026 | Common Stock | 69,000 | 69,000 | D |
| Common Stock (right to purchase)F3 | $0.68 | holding | — | — | — | Feb 21, 2018 | Feb 21, 2027 | Common Stock | 81,000 | 81,000 | D |
| Common Stock (right to purchase)F1 | $0.82 | holding | — | — | — | May 23, 2019 | May 23, 2028 | Common Stock | 90,000 | 90,000 | D |
Explanation of responses
- F1Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
- F2Subject to certain restrictions, beginning on this date, options vest in three equal installments.
- F3Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.