SIEGEL RICHARD W 4
4 · NANOPHASE TECHNOLOGIES Corp · Filed Dec 19, 2022
Insider Transaction Report
Form 4
SIEGEL RICHARD W
Director
Transactions
- Exercise/Conversion
Common Stock
2022-11-15$0.41/sh+10,000$4,150→ 409,838 total - Exercise/Conversion
Common Stock (right to purchase)
2022-11-15$0.41/sh−10,000$4,150→ 0 totalExercise: $0.41From: 2014-02-14Exp: 2023-02-14→ Common Stock (10,000 underlying)
Holdings
- 389,838
Common Stock
- 20,030
Deferred Common Stock
→ Common Stock (20,030 underlying) - 9,000
Common Stock (right to purchase)
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (9,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $1.85From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 10,000
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: $0.84From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $0.90From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $1.18From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 8,100
Common Stock (right to purchase)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (8,100 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $1.05From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $0.99From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 15,000
Common Stock (right to purchase)
Exercise: $0.45From: 2021-06-18Exp: 2027-06-18→ Common Stock (15,000 underlying) - 15,000
Common Stock (right to purchase)
Exercise: $4.17From: 2022-12-28Exp: 2028-12-28→ Common Stock (15,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $1.10From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.82From: 2019-05-23Exp: 2028-05-23→ Common Stock (10,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.68From: 2018-02-21Exp: 2027-02-21→ Common Stock (10,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.51From: 2020-05-22Exp: 2029-05-22→ Common Stock (10,000 underlying)
Footnotes (6)
- [F1]Each share of deferred common stock represents a right to receive one share of common stock.
- [F2]The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
- [F3]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.
- [F4]Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
- [F5]Beginning on this date, subject to certain restrictions, the stock option vests in three equal annual installments.
- [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 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.