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Cureton Kevin – ‘4’ for 3/21/24 re: Nanophase Technologies Corp.

On:  Monday, 3/25/24, at 4:57pm ET   ·   For:  3/21/24   ·   As:  Officer   ·   Accession #:  950170-24-35990   ·   File #:  0-22333

Previous ‘4’:  ‘4’ on 1/24/24 for 1/23/24   ·   Latest ‘4’:  This Filing

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

 3/25/24  Cureton Kevin                     4          Officer     1:13K  Nanophase Technologies Corp.      Donnelley … Solutions/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           Statement of Changes in Beneficial Ownership of     HTML     13K 
                Securities by an Insider -- ownership.xml/5.8


        

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:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  3/21/24
Issuer:
Issuer CIK:  883107
Issuer Name:  NANOPHASE TECHNOLOGIES Corp
Issuer Trading Symbol:  NANX
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1563513
Owner Name:  Cureton Kevin
Reporting Owner Address:
Owner Street 1:  1319 MARQUETTE DRIVE
Owner Street 2:
Owner City:  ROMEOVILLE
Owner State:  IL
Owner ZIP Code:  60446
Owner State Description:
Reporting Owner Relationship:
Is Director?  No
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  Chief Operating Officer
Aff 10b5 One?  No
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Common Stock
Transaction Date:
Value:  3/21/24
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  50,000
Transaction Price Per Share:
Value:  0.44
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  175,821
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Holding:
Security Title:
Value:  Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  175,821
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.44
Transaction Date:
Value:  3/21/24
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  D
Equity Swap Involved?  No
Transaction Amounts:
Transaction Shares:
Value:  50,000
Transaction Price Per Share:
Value:  0.44
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Value:  2/18/16
Expiration Date:
Value:  2/18/25
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  50,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.44
Exercise Date:
Value:  2/18/16
Expiration Date:
Value:  2/18/25
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  50,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  0
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.42
Exercise Date:
Value:  2/23/17
Expiration Date:
Value:  2/23/26
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  43,500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  43,500
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.68
Exercise Date:
Value:  2/21/18
Expiration Date:
Value:  2/21/27
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  50,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  50,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.82
Exercise Date:
Value:  5/23/19
Expiration Date:
Value:  5/23/28
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  80,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  80,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.51
Exercise Date:
Value:  5/22/20
Expiration Date:
Value:  5/22/29
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  16,500
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  16,500
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.45
Exercise Date:
Value:  6/18/21
Expiration Date:
Value:  6/18/27
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  90,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  90,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  4.17
Exercise Date:
Value:  12/28/22
Expiration Date:
Value:  12/28/28
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  90,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  90,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  1.165
Exercise Date:
Value:  12/20/23
Expiration Date:
Value:  12/20/29
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  72,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  72,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Common Stock (right to purchase)
Conversion or Exercise Price:
Value:  0.61
Exercise Date:
Value:  12/27/24
Expiration Date:
Value:  12/27/30
Underlying Security:
Underlying Security Title:
Value:  Common Stock
Underlying Security Shares:
Value:  12,600
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  12,600
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Owner Signature:
Signature Name:  /s/ Jess Jankowski under UPA for Kevin Cureton
Signature Date:  3/25/24


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