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

Role
Chief Operating Officer
Signature
/s/ Jess Jankowski under UPA for Kevin Cureton
Stock symbol
NANX
Transactions as of
Nov 22, 2021
Transactions value $
-$138,956
Form type
4
Date filed
11/24/2021, 03:52 PM
Previous filing
Sep 16, 2021
Next filing
Nov 30, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NANX Common Stock Options Exercise $4.84K +11.7K +45.49% $0.42 37.3K Nov 22, 2021 Direct
transaction NANX Common Stock Sale -$45.7K -11.7K -31.27% $3.92 25.7K Nov 22, 2021 Direct
transaction NANX Common Stock Options Exercise $5.12K +12.3K +48.08% $0.42 38K Nov 24, 2021 Direct
transaction NANX Common Stock Options Exercise $6.44K +12.4K +32.63% $0.52 50.4K Nov 24, 2021 Direct
transaction NANX Common Stock Sale -$93.2K -24.7K -49.08% $3.77 25.7K Nov 24, 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 -$4.84K -11.7K -100% $0.42 0 Nov 22, 2021 Common Stock 11.7K $0.42 Direct F1
transaction NANX Common Stock (right to purchase) Options Exercise -$5.12K -12.3K -33.94% $0.42 24K Nov 24, 2021 Common Stock 36.3K $0.42 Direct F2, F3
transaction NANX Common Stock (right to purchase) Options Exercise -$6.44K -12.4K -16.52% $0.52 62.6K Nov 24, 2021 Common Stock 75K $0.52 Direct F3
holding NANX Common Stock (right to purchase) 50K Nov 22, 2021 Common Stock 50K $0.44 Direct F3
holding NANX Common Stock (right to purchase) 43.5K Nov 22, 2021 Common Stock 43.5K $0.42 Direct F3
holding NANX Common Stock (right to purchase) 50K Nov 22, 2021 Common Stock 50K $0.68 Direct F3
holding NANX Common Stock (right to purchase) 80K Nov 22, 2021 Common Stock 80K $0.82 Direct F3
holding NANX Common Stock (right to purchase) 16.5K Nov 22, 2021 Common Stock 16.5K $0.51 Direct F3
holding NANX Common Stock (right to purchase) 90K Nov 22, 2021 Common Stock 90K $0.45 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.