0001209191-21-067223.txt : 20211130
0001209191-21-067223.hdr.sgml : 20211130
20211130200923
ACCESSION NUMBER: 0001209191-21-067223
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211126
FILED AS OF DATE: 20211130
DATE AS OF CHANGE: 20211130
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: 211460956
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
2021-11-26
0
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001563513
Cureton Kevin
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
0
1
0
0
Chief Operating Officer
Common Stock
2021-11-26
4
M
0
12607
0.52
A
38257
D
Common Stock
2021-11-26
4
S
0
12607
3.50
D
25650
D
Common Stock
2021-11-30
4
M
0
24000
0.415
A
49650
D
Common Stock
2021-11-30
4
M
0
25000
0.52
A
74650
D
Common Stock
2021-11-30
4
S
0
23829
3.79
D
50821
D
Common Stock (right to purchase)
0.415
2021-11-30
4
M
0
24000
0.415
D
2014-02-14
2023-02-14
Common Stock
24000
0
D
Common Stock
0.52
2021-11-26
4
M
0
12607
0.52
D
2014-02-14
2023-02-14
Common Stock
12607
0
D
Common Stock (right to purchase)
0.52
2021-11-30
4
M
0
25000
0.52
D
2015-02-13
2024-02-13
Common Stock
50000
25000
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
Following recently reported exercises of 11,668 (11/22/21) and 12,332 (11/24/21) shares, this line item represents the 3rd exercise, of 24,000 shares of the total initial grant of 48,000 shares, leaving a balance of 0 shares remaining relating to this grant.
Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
Following the recently reported exercise of 12,393 shares (11/24/21), this line item represents the 2nd exercise, of 12,607 shares of a total initial grant of 75,000 shares, leaving a balance of 50,000 shares remaining relating to this grant, prior to the 11/30/21 exercise reported below.
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.
/s/ Jess Jankowski under UPA for Kevin Cureton
2021-11-30