HENDERSON JAMES A 4/A
4/A · NANOPHASE TECHNOLOGIES Corp · Filed May 29, 2018
Insider Transaction Report
Form 4/AAmended
HENDERSON JAMES A
Director
Transactions
- Award
Common Stock (right to purchase)
2018-05-23$0.82/sh+15,000$12,300→ 15,000 totalExercise: $0.82From: 2019-05-23Exp: 2028-05-23→ Common Stock (15,000 underlying)
Holdings
- 5,000
Common Stock (right to purchase)
Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (10,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $0.90From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 9,000
Common Stock (right to purchase)
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (4,500 underlying) - 15,000
Common Stock (right to purchase)
Exercise: $0.68From: 2018-02-21Exp: 2027-02-21→ Common Stock (15,000 underlying) - 20,030
Deferred Common Stock
→ Common Stock (20,030 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $1.36From: 2012-01-31Exp: 2021-01-31→ Common Stock (10,000 underlying) - 482,115
Common Stock
- 12,150
Common Stock (right to purchase)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (12,150 underlying)
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.