| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NANX | Common Stock | Purchase | $7,549 | +4,718 | +0.25% | $1.60 | 1,874,203 | 31 May 2024 | Direct | F1 |
| transaction | NANX | Common Stock | Purchase | $7,996 | +5,000 | +0.27% | $1.60 | 1,879,203 | 03 Jun 2024 | Direct | |
| transaction | NANX | Common Stock | Purchase | $640 | +400 | +0.02% | $1.60 | 1,879,603 | 03 Jun 2024 | Direct | |
| transaction | NANX | Common Stock | Purchase | $16,715 | +10,669 | +0.57% | $1.57 | 1,890,272 | 04 Jun 2024 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | NANX | Deferred Common Stock | 20,030 | 31 May 2024 | Common Stock | 20,030 | Direct | F2, F3, F4 | ||||||
| holding | NANX | Common Stock (right to purchase) | 2,000 | 31 May 2024 | Common Stock | 2,000 | $0.9000 | Direct | F5 | |||||
| holding | NANX | Common Stock (right to purchase) | 2,000 | 31 May 2024 | Common Stock | 2,000 | $1.05 | Direct | F5 | |||||
| holding | NANX | Common Stock (right to purchase) | 2,000 | 31 May 2024 | Common Stock | 2,000 | $1.18 | Direct | F5 | |||||
| holding | NANX | Common Stock (right to purchase) | 2,000 | 31 May 2024 | Common Stock | 2,000 | $0.8400 | Direct | F5 | |||||
| holding | NANX | Common Stock (right to purchase) | 2,000 | 31 May 2024 | Common Stock | 2,000 | $1.85 | Direct | F5 | |||||
| holding | NANX | Common Stock (right to purchase) | 2,000 | 31 May 2024 | Common Stock | 2,000 | $1.10 | Direct | F5 | |||||
| holding | NANX | Common Stock (right to purchase) | 2,000 | 31 May 2024 | Common Stock | 2,000 | $0.9900 | Direct | F5 | |||||
| holding | NANX | Common Stock (right to purchase) | 10,000 | 31 May 2024 | Common Stock | 10,000 | $0.6800 | Direct | F6 | |||||
| holding | NANX | Common Stock (right to purchase) | 10,000 | 31 May 2024 | Common Stock | 10,000 | $0.8200 | Direct | F6 | |||||
| holding | NANX | Common Stock (right to purchase) | 6,667 | 31 May 2024 | Common Stock | 6,667 | $0.4500 | Direct | F6 | |||||
| holding | NANX | Common Stock (right to purchase) | 20,000 | 31 May 2024 | Common Stock | 20,000 | $4.17 | Direct | F6 | |||||
| holding | NANX | Common Stock (right to purchase) | 20,000 | 31 May 2024 | Common Stock | 20,000 | $1.16 | Direct | F6 | |||||
| holding | NANX | Common Stock (right to purchase) | 12,600 | 31 May 2024 | Common Stock | 12,600 | $0.6100 | Direct | F6 |
| Id | Content |
|---|---|
| F1 | This total includes 182,433 shares of Nanophase common stock purchased by Ms. Whitmore through the Company's Rights Offering. This transaction was recorded and filed in a Form 4 on 2/13/2024, but the new shares were not included in subsequent cumulative shares owned subsequent to that time. |
| F2 | Each share of deferred common stock represents the 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 Compensaion 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. 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. |
| F6 | Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. |