Kevin Cureton - 22 Nov 2021 Form 4 Insider Report for NANOPHASE TECHNOLOGIES Corp (SLSN)

Role
Chief Operating Officer
Signature
/s/ Jess Jankowski under UPA for Kevin Cureton
Issuer symbol
SLSN
Transactions as of
22 Nov 2021
Net transactions value
-$138,956
Form type
4
Filing time
24 Nov 2021, 15:52:01 UTC
Previous filing
16 Sep 2021
Next filing
30 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NANX Common Stock Options Exercise $4,842 +11,668 +45% $0.4150 37,318 22 Nov 2021 Direct
transaction NANX Common Stock Sale $45,743 -11,668 -31% $3.92 25,650 22 Nov 2021 Direct
transaction NANX Common Stock Options Exercise $5,118 +12,332 +48% $0.4150 37,982 24 Nov 2021 Direct
transaction NANX Common Stock Options Exercise $6,444 +12,393 +33% $0.5200 50,375 24 Nov 2021 Direct
transaction NANX Common Stock Sale $93,213 -24,725 -49% $3.77 25,650 24 Nov 2021 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
transaction NANX Common Stock (right to purchase) Options Exercise $4,842 -11,668 -100% $0.4150 0 22 Nov 2021 Common Stock 11,668 $0.4150 Direct F1
transaction NANX Common Stock (right to purchase) Options Exercise $5,118 -12,332 -34% $0.4150 24,000 24 Nov 2021 Common Stock 36,332 $0.4150 Direct F2, F3
transaction NANX Common Stock (right to purchase) Options Exercise $6,444 -12,393 -17% $0.5200 62,607 24 Nov 2021 Common Stock 75,000 $0.5200 Direct F3
holding NANX Common Stock (right to purchase) 50,000 22 Nov 2021 Common Stock 50,000 $0.4400 Direct F3
holding NANX Common Stock (right to purchase) 43,500 22 Nov 2021 Common Stock 43,500 $0.4200 Direct F3
holding NANX Common Stock (right to purchase) 50,000 22 Nov 2021 Common Stock 50,000 $0.6800 Direct F3
holding NANX Common Stock (right to purchase) 80,000 22 Nov 2021 Common Stock 80,000 $0.8200 Direct F3
holding NANX Common Stock (right to purchase) 16,500 22 Nov 2021 Common Stock 16,500 $0.5100 Direct F3
holding NANX Common Stock (right to purchase) 90,000 22 Nov 2021 Common Stock 90,000 $0.4500 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This line item represents the 1st sale of 11,668 shares of a total grant of 48,000 shares, leaving a balance of 36,332 shares remaining relating to this grant.
F2 This line item represents the 2nd sale, of 12,332 shares of a total initial grant of 48,000 shares, leaving a balance of 24,000 shares remaining relating to this grant.
F3 Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.