Vincent George A 4/A
4/A · NANOPHASE TECHNOLOGIES Corp · Filed May 29, 2018
Insider Transaction Report
Form 4/AAmended
Vincent George A
Director
Transactions
- Purchase
Common Stock
2014-09-03$0.51/sh+20,618$10,515→ 20,618 total - Award
Common Stock (right to purchase)
2018-05-23$0.82/sh+10,000$8,200→ 10,000 totalExercise: $0.82From: 2019-05-23Exp: 2028-05-23→ Common Stock (10,000 underlying)
Holdings
- 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: $1.36From: 2012-01-31Exp: 2021-01-31→ Common Stock (12,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.41From: 2014-02-14Exp: 2023-02-14→ Common Stock (10,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (10,000 underlying) - 8,100
Common Stock (right to purchase)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (8,100 underlying) - 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: $0.84From: 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) - 12,652
Deferred Common Stock
→ 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) - 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) - 10,000
Common Stock (right to purchase)
Exercise: $0.68From: 2018-02-21Exp: 2027-02-21→ Common Stock (10,000 underlying) - 9,000
Common Stock (right to purchase)
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (9,000 underlying)
Footnotes (6)
- [F1]These shares of common stock were purchased in the open market during an open trading window for Company officers and directors. The Form 4s filed by the reporting person after September 3, 2014 and prior to the date of this Form 4 did not reflect these shares as being owned by the reporting person.
- [F2]Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
- [F3]Each share of deferred common stock represents a right to receive one share of common stock.
- [F4]The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
- [F5]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.
- [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 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.