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4//SEC Filing

NANOPHASE TECHNOLOGIES Corp 4

Accession 0001209191-16-151341

$SLSNCIK 0000883107operating
View on SEC.govCompany Profile

Filed

Nov 20, 7:00 PM ET

Accepted

Nov 21, 10:05 AM ET

Size

32.6 KB

Accession

0001209191-16-151341

Insider Transaction Report

Form 4
Period: 2016-11-17
NANOPHASE TECHNOLOGIES CorpNANX
HENDERSON JAMES A
Director
Transactions
  • Award

    Common Stock (right to buy)

    2016-11-17$1.18/sh+2,000$2,360→ 2,000 total
    Exercise: $1.18From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
  • Award

    Common Stock (right to buy)

    2016-11-17$1.85/sh+2,000$3,700→ 2,000 total
    Exercise: $1.85From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
  • Award

    Common Stock (right to buy)

    2016-11-17$0.90/sh+2,000$1,800→ 2,000 total
    Exercise: $0.90From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
  • Award

    Common Stock (right to buy)

    2016-11-17$0.84/sh+2,000$1,680→ 2,000 total
    Exercise: $0.84From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
  • Award

    Common Stock (right to buy)

    2016-11-17$1.10/sh+2,000$2,200→ 2,000 total
    Exercise: $1.10From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
  • Award

    Common Stock (right to buy)

    2016-11-17$0.99/sh+2,000$1,980→ 2,000 total
    Exercise: $0.99From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
  • Disposition to Issuer

    Stock Appreciation Right

    2016-11-17$1.18/sh−14,000$16,520→ 0 total
    Exercise: $1.18→ Common Stock (14,000 underlying)
  • Award

    Common Stock (right to buy)

    2016-11-17$1.05/sh+2,000$2,100→ 2,000 total
    Exercise: $1.05From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
Holdings

  • Common Stock

    412,615

  • Stock Option (right to buy)

    Exercise: $1.36From: 2012-01-31Exp: 2021-01-31→ Common Stock (10,000 underlying)
    10,000

  • Deferred Common Stock

    → Common Stock (20,030 underlying)
    20,030

  • Stock Option (right to buy)

    Exercise: $0.30From: 2013-08-07Exp: 2022-08-07→ Common Stock (15,000 underlying)
    15,000

  • Common Stock (right to buy)

    Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (13,500 underlying)
    13,500

  • Stock Option (right to buy)

    Exercise: $0.41From: 2014-02-14Exp: 2023-02-14→ Common Stock (15,000 underlying)
    15,000

  • Common Stock (right to buy)

    Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (12,150 underlying)
    12,150

  • Stock Option (right to buy)

    Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (15,000 underlying)
    15,000
Footnotes (7)
  • [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 rights that were to become 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, 2,000 were issued 10/1/2009 at a conversion price of $1.18, 2,000 were issued 1/4/2010 at a conversion price of $0.84, 2,000 were issued 4/1/2010 at a conversion price of $1.85, 2,000 were issued 7/1/2010 at a conversion price of $1.10, and 2,000 were issued 10/1/2010 at a conversion price of $0.99.
  • [F6]Subject to certain rights and restrictions, options vest in three equal annual installments.
  • [F7]The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued at identical exercise prices to the conversion prices of the respective stock appreciation rights. 2,000 were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85, 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99.

Documents

1 file

Issuer

NANOPHASE TECHNOLOGIES Corp

CIK 0000883107

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0000883107

Filing Metadata

Form type
4
Filed
Nov 20, 7:00 PM ET
Accepted
Nov 21, 10:05 AM ET
Size
32.6 KB
View on SEC.gov