NANOPHASE TECHNOLOGIES Corp 4
4 · NANOPHASE TECHNOLOGIES Corp · Filed Feb 22, 2017
Insider Transaction Report
Form 4
Vincent George A
Director
Transactions
- Award
Stock Option (right to buy)
2017-02-21$0.68/sh+10,000$6,800→ 10,000 totalExercise: $0.68From: 2018-02-21Exp: 2027-02-21→ Common Stock (10,000 underlying)
Holdings
- 10,000
Stock Option (right to buy)
Exercise: $4.48From: 2008-11-06Exp: 2017-11-06→ Common Stock (10,000 underlying) - 10,000
Stock Option (right to buy)
Exercise: $0.41From: 2014-02-14Exp: 2023-02-14→ Common Stock (10,000 underlying) - 9,000
Stock Option (right to buy)
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (9,000 underlying) - 2,250
Stock Option (right to buy)
Exercise: $1.18From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Stock Option (right to buy)
Exercise: $1.10From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 12,000
Stock Option (right to buy)
Exercise: $1.36From: 2012-01-31Exp: 2021-01-31→ Common Stock (12,000 underlying) - 12,652
Deferred Common Stock
→ Common Stock (2,250 underlying) - 2,250
Stock Option (right to buy)
Exercise: $0.90From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Stock Option (right to buy)
Exercise: $1.85From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Stock Option (right to buy)
Exercise: $1.05From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Stock Option (right to buy)
Exercise: $0.84From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 12,000
Stock Option (right to buy)
Exercise: $0.30From: 2013-08-07Exp: 2022-08-07→ Common Stock (12,000 underlying) - 10,000
Stock Option (right to buy)
Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (10,000 underlying) - 8,100
Stock Option (right to buy)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (8,100 underlying) - 2,250
Stock Option (right to buy)
Exercise: $0.99From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying)
Footnotes (5)
- [F1]Subject to certain rights and 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 12,652 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 with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.