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