4//SEC Filing
PEARLMAN JERRY K 4
Accession 0001209191-09-046414
CIK 0000883107other
Filed
Sep 30, 8:00 PM ET
Accepted
Oct 1, 5:01 PM ET
Size
13.5 KB
Accession
0001209191-09-046414
Insider Transaction Report
Form 4
PEARLMAN JERRY K
Director
Transactions
- Award
Stock Appreciation Right
2009-10-01+2,000→ 6,000 totalExercise: $1.18→ Common Stock (2,000 underlying)
Holdings
- 20,030
Deferred Common Stock
→ Common Stock (2,000 underlying) - 31,948
Common Stock
- 2,000
Stock Option (right to buy)
Exercise: $7.63From: 2001-05-25Exp: 2010-05-25→ Common Stock (2,000 underlying)
Footnotes (5)
- [F1]Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
- [F2]Each share of deferred common stock represents a right to receive one share of common stock.
- [F3]The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
- [F4]Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
- [F5]The stock appreciation right becomes payable upon the reporting person's termination of service as a director of the Company. 2,000 were issued 4/8/2009 at a conversion price of $0.90, 2,000 were issued 7/1/2009 at a conversion price of $1.05, and 2,000 were issued 10/1/2009 at a conversion price of $1.18.
Documents
Issuer
NANOPHASE TECHNOLOGIES CORPORATION
CIK 0000883107
Entity typeother
IncorporatedIL
Related Parties
1- filerCIK 0001074385
Filing Metadata
- Form type
- 4
- Filed
- Sep 30, 8:00 PM ET
- Accepted
- Oct 1, 5:01 PM ET
- Size
- 13.5 KB