Jess Jankowski - Dec 28, 2021 Form 4 Insider Report for NANOPHASE TECHNOLOGIES Corp (NANX)

Role
President, CEO, Director
Signature
Jess A. Jankowski
Stock symbol
NANX
Transactions as of
Dec 28, 2021
Transactions value $
$375,300
Form type
4
Date filed
12/30/2021, 11:43 AM
Next filing
Jun 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding NANX Common Stock 1K Dec 28, 2021 Spouse's IRA
holding NANX Common Stock 59K Dec 28, 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) Award $375K +90K $4.17 90K Dec 28, 2021 Common Stock 90K $4.17 Direct F2
holding NANX Common Stock (right to purchase) 98K Dec 28, 2021 Common Stock 98K $0.30 Direct F1
holding NANX Common Stock (right to purchase) 90K Dec 28, 2021 Common Stock 90K $0.42 Direct F1
holding NANX Common Stock (right to purchase) 90K Dec 28, 2021 Common Stock 90K $0.52 Direct F2
holding NANX Common Stock (right to purchase) 81K Dec 28, 2021 Common Stock 81K $0.44 Direct F3
holding NANX Common Stock (right to purchase) 69K Dec 28, 2021 Common Stock 69K $0.42 Direct F3
holding NANX Common Stock (right to purchase) 81K Dec 28, 2021 Common Stock 81K $0.68 Direct F3
holding NANX Common Stock (right to purchase) 90K Dec 28, 2021 Common Stock 90K $0.82 Direct F1
holding NANX Common Stock (right to purchase) 16.5K Dec 28, 2021 Common Stock 16.5K $0.51 Direct F2
holding NANX Common Stock (right to purchase) 90K Dec 28, 2021 Common Stock 90K $0.45 Direct F2
* 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 annual installments.
F2 Subject to certain restrictions, beginning on this date, options vest in three equal installments.
F3 Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.