NANOPHASE TECHNOLOGIES Corp 4

Accession 0001209191-16-154690

$SLSNCIK 0000883107operating

Filed

Dec 11, 7:00 PM ET

Accepted

Dec 12, 4:10 PM ET

Size

27.5 KB

Accession

0001209191-16-154690

Form 4

Period: 2016-12-12

Director

Transactions

Exercise of In-Money
Stock Option (right to buy)
2016-09-22$0.30/sh−15,000$4,500→ 0 total
Exercise: $0.30From: 2013-08-07Exp: 2022-08-07→ Common Stock (15,000 underlying)
Exercise of In-Money
Common Stock (right to buy)
2016-09-22$0.44/sh−4,500$1,980→ 9,000 total
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (4,500 underlying)
Purchase
Common Stock
2016-12-12$0.74/sh+24,000$17,760→ 482,115 total
Exercise of In-Money
Stock Option (right to buy)
2016-09-22$0.42/sh−15,000$6,300→ 0 total
Exercise: $0.42From: 2014-02-14Exp: 2023-02-14→ Common Stock (15,000 underlying)
Exercise of In-Money
Stock Option (right to buy)
2016-09-22$0.52/sh−10,000$5,200→ 5,000 total
Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (10,000 underlying)

Holdings

Common Stock (right to buy)
Exercise: $0.90From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000
Common Stock (right to buy)
Exercise: $1.18From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000
Stock Option (right to buy)
Exercise: $1.36From: 2012-01-31Exp: 2021-01-31→ Common Stock (10,000 underlying)
10,000
Common Stock (right to buy)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (12,150 underlying)
12,150
Common Stock (right to buy)
Exercise: $1.05From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000
Common Stock (right to buy)
Exercise: $0.84From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000
Common Stock (right to buy)
Exercise: $1.10From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000
Deferred Common Stock
→ Common Stock (20,030 underlying)
20,030
Common Stock (right to buy)
Exercise: $1.85From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000
Common Stock (right to buy)
Exercise: $0.99From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000

Footnotes (6)

[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]Subject to certain rights and restrictions, options vest in three equal annual installments.
[F6]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

NANOPHASE TECHNOLOGIES Corp

CIK 0000883107

Entity typeoperating

IncorporatedDE