4//SEC Filing
Nelson David W 4
Accession 0001209191-12-040865
CIK 0000883107other
Filed
Aug 7, 8:00 PM ET
Accepted
Aug 8, 9:41 AM ET
Size
17.8 KB
Accession
0001209191-12-040865
Insider Transaction Report
Form 4
Nelson David W
VP Sales & Marketing
Transactions
- Exercise of In-Money
Subscription Rights (right to buy)
2012-07-10−2,000→ 0 totalExercise: $0.33From: 2012-06-13Exp: 2012-07-20→ Common Stock (684 underlying) - Exercise of In-Money
Common Stock
2012-07-10$0.33/sh+684$226→ 2,684 total - Exercise of In-Money
Common Stock
2012-07-20$0.33/sh+1,000$330→ 3,684 total
Holdings
- 48,000
Common Stock (right to buy)
Exercise: $1.26From: 2012-05-02Exp: 2021-05-02→ Common Stock (48,000 underlying) - 2,000
Common Stock (right to buy)
Exercise: $3.14From: 2009-05-12Exp: 2018-05-12→ Common Stock (20,000 underlying) - 30,000
Common Stock (right to buy)
Exercise: $1.02From: 2010-05-04Exp: 2019-05-04→ Common Stock (30,000 underlying) - 15,000
Common Stock (right to buy)
Exercise: $4.48From: 2008-11-06Exp: 2017-11-06→ Common Stock (15,000 underlying) - 35,000
Common Stock (right to buy)
Exercise: $6.13From: 2008-04-09Exp: 2017-04-09→ Common Stock (35,000 underlying) - 27,000
Common Stock (right to buy)
Exercise: $1.70From: 2011-05-03Exp: 2020-05-03→ Common Stock (27,000 underlying)
Footnotes (5)
- [F1]The shares were purchased upon exercise of subscription rights issued pro rata to holders of the issuer's common stock (the "Common Stock") as of the close of business on June 13, 2012 (the "Record Date"), to purchase 0.342 shares of Common Stock for each one share of Common Stock owned as of the close of business on the Record Date at a subscription price of $0.33 per full share under the basic subscription privilege of the issuer's rights offering. The reporting person also exercised his over-subscription privilege under the rights offering, seeking up to 1,000 additional shares of Common Stock at the same $0.33 price. The number of shares of Common Stock purchased by the reporting person pursuant to the exercise of his over-subscription privilege will be subject to availability and the pro rata allocation of shares among persons exercising this over-subscription privilege and will be determined subsequent to the expiration date of the rights offering.
- [F2]The shares of Common Stock was issued to the reporting person upon the expiration of the rights offering (July 20, 2012).
- [F3]Subject to certain restrictions, beginning on this date, options vest in five equal anual installments.
- [F4]Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
- [F5]The reporting person exercised subscription rights issued pro rata to holders of Common Stock as of the close of business on the Record Date, to purchase 0.342 shares of Common Stock for each one share of Common Stock owned as of the close of business on the Record Date at a subscription price of $0.33 per full share under the basic subscription privilege of the issuer's rights offering.
Documents
Issuer
NANOPHASE TECHNOLOGIES CORPORATION
CIK 0000883107
Entity typeother
Related Parties
1- filerCIK 0001446734
Filing Metadata
- Form type
- 4
- Filed
- Aug 7, 8:00 PM ET
- Accepted
- Aug 8, 9:41 AM ET
- Size
- 17.8 KB