R. Janet Whitmore - May 15, 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 15, 2024
Transactions value $
$11,490
Form type
4
Date filed
5/17/2024, 04:12 PM
Previous filing
May 13, 2024
Next filing
May 21, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NANX Common Stock Purchase $2.28K +1.66K +0.1% $1.37 1.65M May 15, 2024 Direct F1, F2
transaction NANX Common Stock Purchase $9.21K +6.9K +0.42% $1.34 1.66M May 16, 2024 Direct F3, F4

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 15, 2024 Common Stock 20K Direct F5, F6, F7
holding NANX Common Stock (right to purchase) 2K May 15, 2024 Common Stock 2K $0.90 Direct F8
holding NANX Common Stock (right to purchase) 2K May 15, 2024 Common Stock 2K $1.05 Direct F8
holding NANX Common Stock (right to purchase) 2K May 15, 2024 Common Stock 2K $1.18 Direct F8
holding NANX Common Stock (right to purchase) 2K May 15, 2024 Common Stock 2K $0.84 Direct F8
holding NANX Common Stock (right to purchase) 2K May 15, 2024 Common Stock 2K $1.85 Direct F8
holding NANX Common Stock (right to purchase) 2K May 15, 2024 Common Stock 2K $1.10 Direct F8
holding NANX Common Stock (right to purchase) 2K May 15, 2024 Common Stock 2K $0.99 Direct F8
holding NANX Common Stock (right to purchase) 10K May 15, 2024 Common Stock 10K $0.68 Direct F9
holding NANX Common Stock (right to purchase) 10K May 15, 2024 Common Stock 10K $0.82 Direct F9
holding NANX Common Stock (right to purchase) 6.67K May 15, 2024 Common Stock 6.67K $0.45 Direct F9
holding NANX Common Stock (right to purchase) 20K May 15, 2024 Common Stock 20K $4.17 Direct F9
holding NANX Common Stock (right to purchase) 20K May 15, 2024 Common Stock 20K $1.17 Direct F9
holding NANX Common Stock (right to purchase) 12.6K May 15, 2024 Common Stock 12.6K $0.61 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were accumulated through four smaller trades.
F2 This price represents the average price of the four combined trades on this day.
F3 These shares were accumulated through eleven smaller trades.
F4 This price represents the average price of the feleven combined trades on this day.
F5 Each share of deferred common stock represents the right to receive one share of common stock.
F6 The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
F7 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.
F8 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.
F9 Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.