0001209191-21-066811.txt : 20211124 0001209191-21-066811.hdr.sgml : 20211124 20211124165201 ACCESSION NUMBER: 0001209191-21-066811 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211122 FILED AS OF DATE: 20211124 DATE AS OF CHANGE: 20211124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cureton Kevin CENTRAL INDEX KEY: 0001563513 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 211447552 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 FORMER COMPANY: FORMER CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION DATE OF NAME CHANGE: 19970305 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-11-22 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001563513 Cureton Kevin 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 Chief Operating Officer Common Stock 2021-11-22 4 M 0 11668 0.415 A 37318 D Common Stock 2021-11-22 4 S 0 11668 3.9204 D 25650 D Common Stock 2021-11-24 4 M 0 12332 0.415 A 37982 D Common Stock 2021-11-24 4 M 0 12393 0.52 A 50375 D Common Stock 2021-11-24 4 S 0 24725 3.77 D 25650 D Common Stock (right to purchase) 0.415 2021-11-22 4 M 0 11668 0.415 D 2014-02-14 2023-02-14 Common Stock 11668 0 D Common Stock (right to purchase) 0.415 2021-11-24 4 M 0 12332 0.415 D 2014-02-14 2023-02-14 Common Stock 36332 24000 D Common Stock (right to purchase) 0.52 2021-11-24 4 M 0 12393 0.52 D 2015-02-13 2024-02-13 Common Stock 75000 62607 D Common Stock (right to purchase) 0.44 2016-02-18 2025-02-18 Common Stock 50000 50000 D Common Stock (right to purchase) 0.42 2017-02-23 2026-02-23 Common Stock 43500 43500 D Common Stock (right to purchase) 0.68 2018-02-21 2027-02-21 Common Stock 50000 50000 D Common Stock (right to purchase) 0.82 2019-05-23 2028-05-23 Common Stock 80000 80000 D Common Stock (right to purchase) 0.51 2020-05-22 2029-05-22 Common Stock 16500 16500 D Common Stock (right to purchase) 0.45 2021-06-18 2027-06-18 Common Stock 90000 90000 D 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. 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. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. /s/ Jess Jankowski under UPA for Kevin Cureton 2021-11-24