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McClung James A – ‘4’ for 5/22/19 re: Nanophase Technologies Corp.

On:  Thursday, 5/30/19, at 4:06pm ET   ·   For:  5/22/19   ·   Accession #:  1209191-19-33419   ·   File #:  0-22333

Previous ‘4’:  ‘4’ on 5/24/18 for 5/23/18   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 5/30/19  McClung James A                   4                      1:20K  Nanophase Technologies Corp.      DONNELLEY FIN… File16/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 Submission -- doc4.xml/3.6                   HTML      3K 




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Form 4 Submission
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
MCCLUNG JAMES A

(Last)(First)(Middle)
1319 MARQUETTE DRIVE

(Street)
ROMEOVILLEIL60446

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
NANOPHASE TECHNOLOGIES Corp [ NANX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
5/22/19
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 30,071IBy Wife
Common Stock 17,582D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Common Stock (right to purchase)$1.36 (1) 1/31/12 1/31/21Common Stock12,000 12,000D
Deferred Common Stock (2) (3) (3) (4)Common Stock2,250 21,596D
Common Stock (right to purchase)$0.3 (1) 8/7/13 8/7/22Common Stock12,000 12,000D
Common Stock (right to purchase)$0.415 (1) 2/14/14 2/14/23Common Stock12,000 12,000D
Common Stock (right to purchase)$0.52 2/13/15 (5) 2/13/24Common Stock12,000 12,000D
Common Stock (right to purchase)$0.44 2/18/16 (6) 2/18/25Common Stock10,800 10,800D
Common Stock (right to purchase)$0.42 2/23/17 (1) 2/23/26Common Stock9,720 9,720D
Common Stock (right to purchase)$0.9 (7) 11/17/16 11/17/26Common Stock2,250 (7) 2,250D
Common Stock (right to purchase)$1.05 (7) 11/17/16 11/17/26Common Stock2,250 (7) 2,250D
Common Stock (right to purchase)$1.18 (7) 11/17/16 11/17/26Common Stock2,250 (7) 2,250D
Common Stock (right to purchase)$0.84 (7) 11/17/16 11/17/26Common Stock2,250 (7) 2,250D
Common Stock (right to purchase)$1.85 (7) 11/17/16 11/17/26Common Stock2,250 (7) 2,250D
Common Stock (right to purchase)$1.1 (7) 11/17/16 11/17/26Common Stock2,250 (7) 2,250D
Common Stock (right to purchase)$0.99 (7) 11/17/16 11/17/26Common Stock2,250 (7) 2,250D
Common Stock (right to purchase)$0.68 2/21/18 (5) 2/21/27Common Stock12,000 12,000D
Common Stock (right to purchase)$0.82 5/23/19 (1) 5/23/28Common Stock12,000 12,000D
Common Stock (right to purchase)$0.51 5/22/19A 12,000 5/22/20 (1) 5/22/29Common Stock12,000$0.5112,000D
Explanation of Responses:
(1)  Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
(2)  Each share of deferred common stock represents a right to receive one share of common stock.
(3)  The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
(4)  Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 21,596 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
(5)  Beginning on this date, and subject to certain restrictions, the stock options vest in three equal annual installments.
(6)  Beginning on this date, and subject to certain restrictions, options vest in three equal annual installments.
(7)  The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued at identical exercise prices to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.
Remarks:
By Jess Jankowski under UPA for James A. McClung 5/30/19
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    A    Grant, award or other acquisition pursuant to Rule 16b-3(d).

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