NANOPHASE TECHNOLOGIES Corp 4

4 · NANOPHASE TECHNOLOGIES Corp · Filed Feb 22, 2017

Form 4

Period: 2017-02-21

Director

Transactions

Award
Common Stock (right to buy)
2017-02-21$0.68/sh+15,000$10,200→ 15,000 total
Exercise: $0.68From: 2018-02-21Exp: 2027-02-21→ Common Stock (15,000 underlying)

Holdings

Common Stock (right to buy)
Exercise: $1.10From: 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
Common Stock (right to buy)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (12,150 underlying)
12,150
Deferred Common Stock
→ Common Stock (20,030 underlying)
20,030
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: $1.85From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000
Common Stock
482,115
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: $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
Stock Option (right to buy)
Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (10,000 underlying)
5,000
Common Stock (right to buy)
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (4,500 underlying)
9,000
Common Stock (right to buy)
Exercise: $1.18From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
2,000

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 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