0001209191-22-037945.txt : 20220617 0001209191-22-037945.hdr.sgml : 20220617 20220617170140 ACCESSION NUMBER: 0001209191-22-037945 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220613 FILED AS OF DATE: 20220617 DATE AS OF CHANGE: 20220617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JANKOWSKI JESS CENTRAL INDEX KEY: 0001184478 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 221024813 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 2022-06-13 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001184478 JANKOWSKI JESS 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 1 0 0 President, CEO Common Stock 1000 I Spouse's IRA Common Stock 59000 D Common Stock 2022-06-13 4 M 0 7800 0.30 A 66800 D Common Stock 2022-06-13 4 S 0 7800 3.00 D 59000 D Common Stock 2022-06-15 4 M 0 12485 0.30 A 71485 D Common Stock 2022-06-15 4 S 0 12485 3.00 D 59000 D Common Stock (right to purchase) 0.30 2022-06-13 4 M 0 7800 0.30 D 2013-08-07 2022-08-07 Common Stock 63845 56045 D Common Stock (right to purchase) 0.30 2022-06-15 4 M 0 12485 0.30 D 2013-08-07 2022-08-07 Common Stock 56045 43560 D Common Stock (right to purchase) 0.415 2014-02-14 2023-02-14 Common Stock 90000 90000 D Common Stock (right to purchase) 0.52 2015-02-13 2024-02-13 Common Stock 90000 90000 D Common Stock (right to purchase) 0.44 2016-02-18 2025-02-18 Common Stock 81000 81000 D Common Stock (right to purchase) 0.42 2017-02-23 2026-02-23 Common Stock 69000 69000 D Common Stock (right to purchase) 0.68 2018-02-21 2027-02-21 Common Stock 81000 81000 D Common Stock (right to purchase) 0.82 2019-05-23 2028-05-23 Common Stock 90000 90000 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 Common Stock (right to purchase) 4.17 2022-12-28 2028-12-28 Common Stock 90000 90000 D This transaction was communicated to the reporting person on June 17th due to a clerical error. These options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. Subject to certain restrictions, beginning on this date, options vest in three equal installments. Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments. The June 13, 2022 transaction was not communicated to Mr. Jankowski until June 17th, due to a clerical error. This option grant is set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings. The maturity of these rights cannot be extended beyond the IRS statutory limit of ten years. Jess A. Jankowski 2022-06-17