4//SEC Filing
PEARLMAN JERRY K 4
Accession 0001209191-11-005905
CIK 0000883107other
Filed
Jan 31, 7:00 PM ET
Accepted
Feb 1, 9:51 AM ET
Size
15.0 KB
Accession
0001209191-11-005905
Insider Transaction Report
Form 4
PEARLMAN JERRY K
Director
Transactions
- Award
Stock Option (right to buy)
2011-01-31$1.36/sh+10,000$13,600→ 10,000 totalExercise: $1.36From: 2014-01-31Exp: 2021-01-31→ Common Stock (10,000 underlying)
Holdings
- 2,000
Stock Option (right to buy)
Exercise: $9.92From: 2002-06-05Exp: 2011-06-05→ Common Stock (2,000 underlying) - 2,000
Stock Option (right to buy)
Exercise: $5.07From: 2004-06-26Exp: 2013-06-26→ Common Stock (2,000 underlying) - 20,030
Deferred Common Stock
→ Common Stock (2,000 underlying) - 14,000
Stock Appreciation Right
Exercise: $0.99→ Common Stock (2,000 underlying) - 2,000
Stock Option (right to buy)
Exercise: $7.63From: 2001-05-25Exp: 2010-05-25→ Common Stock (2,000 underlying) - 2,000
Stock Option (right to buy)
Exercise: $3.78From: 2003-11-25Exp: 2012-11-25→ Common Stock (2,000 underlying) - 31,948
Common Stock
Footnotes (5)
- [F1]Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
- [F2]Each share of deferred common stock represents a right to receive one share of common stock.
- [F3]The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
- [F4]Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
- [F5]The stock appreciation right becomes payable upon the reporting person's termination of service as a director of the Company. 2,000 were issued 4/8/2009 at a conversion price of $0.90, 2,000 were issued 7/1/2009 at a conversion price of $1.05, 2,000 were issued 10/1/2009 at a conversion price of $1.18, 2,000 were issued 1/4/2010 at a conversion price of $0.84, 2,000 were issued 4/1/2010 at a conversion price of $1.85, 2,000 were issued 7/1/2010 at a conversion price of $1.10, and 2,000 were issued 10/1/2010 at a conversion price of $0.99.
Documents
Issuer
NANOPHASE TECHNOLOGIES CORPORATION
CIK 0000883107
Entity typeother
IncorporatedIL
Related Parties
1- filerCIK 0001074385
Filing Metadata
- Form type
- 4
- Filed
- Jan 31, 7:00 PM ET
- Accepted
- Feb 1, 9:51 AM ET
- Size
- 15.0 KB