0001209191-22-057747.txt : 20221117 0001209191-22-057747.hdr.sgml : 20221117 20221117210014 ACCESSION NUMBER: 0001209191-22-057747 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221115 FILED AS OF DATE: 20221117 DATE AS OF CHANGE: 20221117 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: 221400329 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 2022-11-15 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 2022-11-15 4 M 0 2300 0.415 A 61300 D Common Stock 2022-11-15 4 S 0 2300 1.80 D 59000 D Common Stock 2022-11-16 4 M 0 5 0.415 A 59005 D Common Stock 2022-11-16 4 S 0 5 1.62 D 59000 D Common Stock 2022-11-17 4 M 0 500 0.415 A 59500 D Common Stock 2022-11-17 4 S 0 500 1.30 D 59000 D Common Stock 2012-11-17 4 M 0 1000 0.415 A 60000 D Common Stock 2012-11-17 4 S 0 1000 1.35 D 59000 D Common Stock 2012-11-17 4 M 0 5800 0.415 A 64800 D Common Stock 2012-11-17 4 S 0 5800 1.40 D 59000 D Common Stock 2012-11-17 4 M 0 1100 0.415 D 60100 D Common Stock 2012-11-17 4 S 0 1100 1.41 A 59000 D Common Stock 2012-11-17 4 M 0 1000 0.415 A 60000 D Common Stock 2012-11-17 4 S 0 1000 1.45 D 59000 D Common Stock (right to purchase) 0.415 2022-11-15 4 M 0 2300 0.415 D 2014-02-14 2023-02-14 Common Stock 55931 53631 D Common Stock (right to purchase) 0.415 2022-11-16 4 M 0 5 0.415 D 2014-02-14 2023-02-14 Common Stock 53631 53626 D Common Stock (right to purchase) 0.415 2022-11-17 4 M 0 9400 0.415 D 2014-02-14 2023-02-14 Common Stock 53626 44226 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 These stock options are set to expire on 02/14/2023. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors. These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors. 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. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having shares from this grant sold, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors. The maturity of these rights cannot be extended beyond the IRS statutory limit of ten years. Jess A. Jankowski 2022-11-17