Baldwin Nancy 4
4 · NANOPHASE TECHNOLOGIES CORPORATION · Filed Aug 9, 2012
Insider Transaction Report
Form 4
Baldwin Nancy
VP Human Resources & IT
Transactions
- Exercise of In-Money
Subscription Rights (right to buy)
2012-07-20−494→ 0 totalExercise: $0.33From: 2012-06-13Exp: 2012-07-20→ Common Stock (168 underlying) - Exercise of In-Money
Common Stock
2012-07-20$0.33/sh+493$163→ 987 total - Award
Common Stock (right to buy)
2012-08-07$0.30/sh+41,000$12,300→ 41,000 totalExercise: $0.30From: 2013-08-07Exp: 2022-08-07→ Common Stock (41,000 underlying)
Holdings
- 15,000
Common Stock (right to buy)
Exercise: $3.14From: 2009-05-12Exp: 2018-05-12→ Common Stock (15,000 underlying) - 3,000
Common Stock (right to buy)
Exercise: $5.55From: 2005-10-11Exp: 2014-10-11→ Common Stock (3,000 underlying) - 9,000
Common Stock (right to buy)
Exercise: $4.48From: 2008-11-06Exp: 2017-11-06→ Common Stock (9,000 underlying) - 30,000
Common Stock (right to buy)
Exercise: $1.02From: 2010-05-04Exp: 2019-05-04→ Common Stock (30,000 underlying) - 31,000
Common Stock (right to buy)
Exercise: $1.26From: 2012-05-02Exp: 2021-05-02→ Common Stock (31,000 underlying) - 7,500
Common Stock (right to buy)
Exercise: $6.01From: 2007-09-27Exp: 2016-09-27→ Common Stock (7,500 underlying) - 27,000
Common Stock (right to buy)
Exercise: $1.70From: 2011-05-03Exp: 2020-05-03→ Common Stock (27,000 underlying)
Footnotes (3)
- [F1]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, as well as additional shares under the oversubscription privilege.
- [F2]Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
- [F3]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.