R. Janet Whitmore - May 9, 2024 Form 4 Insider Report for NANOPHASE TECHNOLOGIES Corp (NANX)

Role
Director
Signature
/s/ Jess Jankowski under UPA for R. Janet Whitmore
Stock symbol
NANX
Transactions as of
May 9, 2024
Transactions value $
$7,420
Form type
4
Date filed
5/13/2024, 04:00 PM
Previous filing
Feb 13, 2024
Next filing
May 17, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NANX Common Stock Purchase $6.86K +4.9K +0.3% $1.40* 1.65M May 9, 2024 Direct
transaction NANX Common Stock Purchase $560 +400 +0.02% $1.40* 1.65M May 10, 2024 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding NANX Deferred Common Stock 20K May 9, 2024 Common Stock 20K Direct F1, F2, F3
holding NANX Common Stock (right to purchase) 2K May 9, 2024 Common Stock 2K $0.90 Direct F4
holding NANX Common Stock (right to purchase) 2K May 9, 2024 Common Stock 2K $1.05 Direct F4
holding NANX Common Stock (right to purchase) 2K May 9, 2024 Common Stock 2K $1.18 Direct F4
holding NANX Common Stock (right to purchase) 2K May 9, 2024 Common Stock 2K $0.84 Direct F4
holding NANX Common Stock (right to purchase) 2K May 9, 2024 Common Stock 2K $1.85 Direct F4
holding NANX Common Stock (right to purchase) 2K May 9, 2024 Common Stock 2K $1.10 Direct F4
holding NANX Common Stock (right to purchase) 2K May 9, 2024 Common Stock 2K $0.99 Direct F4
holding NANX Common Stock (right to purchase) 10K May 9, 2024 Common Stock 10K $0.68 Direct F5
holding NANX Common Stock (right to purchase) 10K May 9, 2024 Common Stock 10K $0.82 Direct F5
holding NANX Common Stock (right to purchase) 6.67K May 9, 2024 Common Stock 6.67K $0.45 Direct F5
holding NANX Common Stock (right to purchase) 20K May 9, 2024 Common Stock 20K $4.17 Direct F5
holding NANX Common Stock (right to purchase) 20K May 9, 2024 Common Stock 20K $1.17 Direct F5
holding NANX Common Stock (right to purchase) 12.6K May 9, 2024 Common Stock 12.6K $0.61 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of deferred common stock represents the 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 Compensaion Plan.
F4 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. Two-thousand shares 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.
F5 Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.