Richard W. Siegel - Dec 20, 2022 Form 4 Insider Report for NANOPHASE TECHNOLOGIES Corp (NANX)

Role
Director
Signature
By Jess Jankowski under UPA for Richard W. Siegel
Stock symbol
NANX
Transactions as of
Dec 20, 2022
Transactions value $
$13,325
Form type
4
Date filed
12/22/2022, 10:20 AM
Previous filing
Dec 19, 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding NANX Common Stock 410K Dec 20, 2022 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 -$4.15K -10K -100% $0.42 0 Nov 15, 2022 Common Stock 10K $0.42 Direct F4
transaction NANX Common Stock (right to purchase) Award $17.5K +15K $1.17 15K Dec 20, 2022 Common Stock 15K $1.17 Direct F5
holding NANX Deferred Common Stock 20K Dec 20, 2022 Common Stock 20K Direct F1, F2, F3
holding NANX Common Stock (right to purchase) 10K Dec 20, 2022 Common Stock 10K $0.52 Direct F5
holding NANX Common Stock (right to purchase) 9K Dec 20, 2022 Common Stock 9K $0.44 Direct F4
holding NANX Common Stock (right to purchase) 8.1K Dec 20, 2022 Common Stock 8.1K $0.42 Direct F4
holding NANX Common Stock (right to purchase) 2K Dec 20, 2022 Common Stock 2K $0.90 Direct F6
holding NANX Common Stock (right to purchase) 2K Dec 20, 2022 Common Stock 2K $1.05 Direct F6
holding NANX Common Stock (right to purchase) 2K Dec 20, 2022 Common Stock 2K $1.18 Direct F6
holding NANX Common Stock (right to purchase) 2K Dec 20, 2022 Common Stock 2K $0.84 Direct F6
holding NANX Common Stock (right to purchase) 2K Dec 20, 2022 Common Stock 2K $1.85 Direct F6
holding NANX Common Stock (right to purchase) 2K Dec 20, 2022 Common Stock 2K $1.10 Direct F6
holding NANX Common Stock (right to purchase) 2K Dec 20, 2022 Common Stock 2K $0.99 Direct F6
holding NANX Common Stock (right to purchase) 10K Dec 20, 2022 Common Stock 10K $0.68 Direct F5
holding NANX Common Stock (right to purchase) 10K Dec 20, 2022 Common Stock 10K $0.82 Direct F4
holding NANX Common Stock (right to purchase) 10K Dec 20, 2022 Common Stock 10K $0.51 Direct F4
holding NANX Common Stock (right to purchase) 15K Dec 20, 2022 Common Stock 15K $0.45 Direct F4
holding NANX Common Stock (right to purchase) 15K Dec 20, 2022 Common Stock 15K $4.17 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 a 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 Compensation Plan.
F4 Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
F5 Beginning on this date, subject to certain restrictions, the stock option vests in three equal annual installments.
F6 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. 2,000 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.