Kevin Cureton - May 17, 2023 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
May 17, 2023
Transactions value $
$55,392
Form type
4
Date filed
6/5/2023, 08:02 PM
Previous filing
Dec 22, 2022
Next filing
Dec 29, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NANX Common Stock Purchase $920 +1K +1.97% $0.92 51.8K May 17, 2023 Direct
transaction NANX Common Stock Purchase $16.2K +15.6K +30.08% $1.04 67.4K May 18, 2023 Direct
transaction NANX Common Stock Purchase $10.4K +10K +14.83% $1.04 77.4K May 19, 2023 Direct
transaction NANX Common Stock Purchase $27.9K +23.4K +30.24% $1.19 101K May 26, 2023 Direct
holding NANX Common Stock 50.8K May 17, 2023 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
holding NANX Common Stock (right to purchase) 25K May 17, 2023 Common Stock 25K $0.52 Direct F1, F2
holding NANX Common Stock (right to purchase) 50K May 17, 2023 Common Stock 50K $0.44 Direct F1
holding NANX Common Stock (right to purchase) 43.5K May 17, 2023 Common Stock 43.5K $0.42 Direct F1
holding NANX Common Stock (right to purchase) 50K May 17, 2023 Common Stock 50K $0.68 Direct F1
holding NANX Common Stock (right to purchase) 80K May 17, 2023 Common Stock 80K $0.82 Direct F1
holding NANX Common Stock (right to purchase) 16.5K May 17, 2023 Common Stock 16.5K $0.51 Direct F1
holding NANX Common Stock (right to purchase) 90K May 17, 2023 Common Stock 90K $0.45 Direct F1
holding NANX Common Stock (right to purchase) 90K May 17, 2023 Common Stock 90K $4.17 Direct F1
holding NANX Common Stock (right to purchase) 72K May 17, 2023 Common Stock 72K $1.17 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 annual installments.
F2 Following the recently reported exercise of 12,393 shares (11/24/21), and the 2nd exercise of 12,607 shares (11/26/21, reported above) this line item represents the 3rd exercise, of 25,000 shares of the total initial grant of 75,000 shares, leaving a balance of 25,000 shares remaining relating to this grant.