4//SEC Filing
MCCLUNG JAMES A 4
Accession 0001209191-18-033134
CIK 0000883107other
Filed
May 23, 8:00 PM ET
Accepted
May 24, 6:30 PM ET
Size
27.5 KB
Accession
0001209191-18-033134
Insider Transaction Report
Form 4
MCCLUNG JAMES A
Director
Transactions
- Award
Common Stock (right to purchase)
2018-05-23$0.82/sh+12,000$9,840→ 12,000 totalExercise: $0.82From: 2019-05-23Exp: 2028-05-23→ Common Stock (12,000 underlying)
Holdings
- 2,250
Common Stock (right to purchase)
Exercise: $0.90From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Common Stock (right to purchase)
Exercise: $1.05From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 17,582
Common Stock
- 30,071(indirect: By Spouse)
Common Stock
- 12,000
Common Stock (right to purchase)
Exercise: $1.36From: 2012-01-31Exp: 2021-01-31→ Common Stock (12,000 underlying) - 12,000
Common Stock (right to purchase)
Exercise: $0.30From: 2013-08-07Exp: 2022-08-07→ Common Stock (12,000 underlying) - 12,000
Common Stock (right to purchase)
Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (12,000 underlying) - 12,000
Common Stock (right to purchase)
Exercise: $0.41From: 2014-02-14Exp: 2023-02-14→ Common Stock (12,000 underlying) - 2,250
Common Stock (right to purchase)
Exercise: $1.18From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Common Stock (right to purchase)
Exercise: $1.85From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Common Stock (right to purchase)
Exercise: $1.10From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 2,250
Common Stock (right to purchase)
Exercise: $0.99From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying) - 12,000
Common Stock (right to purchase)
Exercise: $0.68From: 2018-02-21Exp: 2027-02-21→ Common Stock (12,000 underlying) - 21,596
Deferred Common Stock
→ Common Stock (2,250 underlying) - 10,800
Common Stock (right to purchase)
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (10,800 underlying) - 9,720
Common Stock (right to purchase)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (9,720 underlying) - 2,250
Common Stock (right to purchase)
Exercise: $0.84From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,250 underlying)
Footnotes (7)
- [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 21,596 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
- [F5]Beginning on this date, and subject to certain restrictions, the stock options vest in three equal annual installments.
- [F6]Beginning on this date, and subject to certain 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. 2,250 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.
Documents
Issuer
NANOPHASE TECHNOLOGIES Corp
CIK 0000883107
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001051331
Filing Metadata
- Form type
- 4
- Filed
- May 23, 8:00 PM ET
- Accepted
- May 24, 6:30 PM ET
- Size
- 27.5 KB