R. Janet Whitmore - Jun 10, 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
Jun 10, 2024
Transactions value $
$26,487
Form type
4
Date filed
6/12/2024, 05:57 PM
Previous filing
Jun 4, 2024
Next filing
Aug 20, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NANX Common Stock Purchase $26K +18K +0.95% $1.44 1.91M Jun 10, 2024 Direct F1
transaction NANX Common Stock Purchase $467 +320 +0.02% $1.46 1.91M Jun 11, 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 Jun 10, 2024 Common Stock 20K Direct F2, F3, F4
holding NANX Common Stock (right to purchase) 2K Jun 10, 2024 Common Stock 2K $0.90 Direct F5
holding NANX Common Stock (right to purchase) 2K Jun 10, 2024 Common Stock 2K $1.05 Direct F5
holding NANX Common Stock (right to purchase) 2K Jun 10, 2024 Common Stock 2K $1.18 Direct F5
holding NANX Common Stock (right to purchase) 2K Jun 10, 2024 Common Stock 2K $0.84 Direct F5
holding NANX Common Stock (right to purchase) 2K Jun 10, 2024 Common Stock 2K $1.85 Direct F5
holding NANX Common Stock (right to purchase) 2K Jun 10, 2024 Common Stock 2K $1.10 Direct F5
holding NANX Common Stock (right to purchase) 2K Jun 10, 2024 Common Stock 2K $0.99 Direct F5
holding NANX Common Stock (right to purchase) 10K Jun 10, 2024 Common Stock 10K $0.68 Direct F6
holding NANX Common Stock (right to purchase) 10K Jun 10, 2024 Common Stock 10K $0.82 Direct F6
holding NANX Common Stock (right to purchase) 6.67K Jun 10, 2024 Common Stock 6.67K $0.45 Direct F6
holding NANX Common Stock (right to purchase) 20K Jun 10, 2024 Common Stock 20K $4.17 Direct F6
holding NANX Common Stock (right to purchase) 20K Jun 10, 2024 Common Stock 20K $1.17 Direct F6
holding NANX Common Stock (right to purchase) 12.6K Jun 10, 2024 Common Stock 12.6K $0.61 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were made through eight separate trades ranging from 100 shares to 5,000 shares in quantity, and ranging from $1.40 to 1.48 per share in price. The average price for this day's trades was $1.4416.
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.