JESS JANKOWSKI - 20 Dec 2022 Form 4 Insider Report for NANOPHASE TECHNOLOGIES Corp (NANX)

Role
President, CEO, Director
Signature
Jess A. Jankowski
Issuer symbol
NANX
Transactions as of
20 Dec 2022
Transactions value $
$83,880
Form type
4
Filing time
22 Dec 2022, 10:27:16 UTC
Previous filing
15 Dec 2022
Next filing
28 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding NANX Common Stock 1,000 20 Dec 2022 Spouse's IRA
holding NANX Common Stock 59,000 20 Dec 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) Award $83,880 +72,000 $1.16 72,000 20 Dec 2022 Common Stock 72,000 $1.16 Direct F2
holding NANX Common Stock (right to purchase) 90,000 20 Dec 2022 Common Stock 90,000 $0.5200 Direct F1
holding NANX Common Stock (right to purchase) 81,000 20 Dec 2022 Common Stock 81,000 $0.4400 Direct F2
holding NANX Common Stock (right to purchase) 69,000 20 Dec 2022 Common Stock 69,000 $0.4200 Direct F2
holding NANX Common Stock (right to purchase) 81,000 20 Dec 2022 Common Stock 81,000 $0.6800 Direct F2
holding NANX Common Stock (right to purchase) 90,000 20 Dec 2022 Common Stock 90,000 $0.8200 Direct F3
holding NANX Common Stock (right to purchase) 16,500 20 Dec 2022 Common Stock 16,500 $0.5100 Direct F1
holding NANX Common Stock (right to purchase) 90,000 20 Dec 2022 Common Stock 90,000 $0.4500 Direct F1
holding NANX Common Stock (right to purchase) 90,000 20 Dec 2022 Common Stock 90,000 $4.17 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Subject to certain restrictions, beginning on this date, options vest in three equal installments.
F2 Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.
F3 Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.