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4/A//SEC Filing

BROTZMAN RICHARD W 4/A

Accession 0001181431-03-030494

CIK 0000883107other
View on SEC.govCompany Profile

Filed

Nov 11, 7:00 PM ET

Accepted

Nov 12, 3:48 PM ET

Size

15.9 KB

Accession

0001181431-03-030494

Insider Transaction Report

Form 4/AAmended
Period: 2003-11-05
NANOPHASE TECHNOLOGIES CORPORATIONNANX
BROTZMAN RICHARD W
VP - Research & Development
Transactions
  • Exercise/Conversion

    Common Stock

    2003-11-05$0.43/sh+25,565$11,044→ 25,565 total
  • Exercise/Conversion

    Common Stock

    2003-11-06$1.73/sh+37,115$64,098→ 37,115 total
  • Sale

    Common Stock

    2003-11-06$6.05/sh−3,385$20,481→ 0 total
  • Sale

    Common Stock

    2003-11-05$6.44/sh−25,565$164,613→ 0 total
  • Exercise/Conversion

    Common Stock

    2003-11-06$0.43/sh+3,385$1,462→ 3,385 total
  • Sale

    Common Stock

    2003-11-06$6.14/sh−37,115$227,960→ 0 total
Holdings

  • Stock Option (right to buy)

    Exercise: $3.89From: 1997-11-07Exp: 2006-11-07→ Common Stock (69,480 underlying)
    69,480

  • Stock Option (right to buy)

    Exercise: $1.75From: 2000-07-27Exp: 2009-07-27→ Common Stock (15,000 underlying)
    15,000

  • Stock Option (right to buy)

    Exercise: $1.73From: 1997-03-01Exp: 2006-03-01→ Common Stock (49,215 underlying)
    12,100

  • Stock Option (right to buy)

    Exercise: $3.81From: 1999-07-31Exp: 2008-07-31→ Common Stock (40,600 underlying)
    40,600

  • Stock Option (right to buy)

    Exercise: $7.69From: 2001-05-24Exp: 2010-05-24→ Common Stock (22,500 underlying)
    22,500

  • Stock Option (right to buy)

    Exercise: $10.88From: 2002-01-26Exp: 2011-01-26→ Common Stock (20,000 underlying)
    20,000
Footnotes (3)
  • [F1]Subject to certain restrictions, beginning on this date, options vest in five equal installments.
  • [F2]Subject to certain restrictions, 51,485 of these options vest in five equal annual installments beginning on 11/07/1997, with the remainder vesting on 11/07/2004.
  • [F3]Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.

Documents

1 file

Issuer

NANOPHASE TECHNOLOGIES CORPORATION

CIK 0000883107

→
Entity typeother

Related Parties

1
  • filerCIK 0001185313

Filing Metadata

Form type
4/A
Filed
Nov 11, 7:00 PM ET
Accepted
Nov 12, 3:48 PM ET
Size
15.9 KB
View on SEC.gov