SIEGEL RICHARD W 4
4 · NANOPHASE TECHNOLOGIES Corp · Filed May 30, 2019
Insider Transaction Report
Form 4
SIEGEL RICHARD W
Director
Transactions
- Award
Common Stock (right to purchase)
2019-05-22$0.51/sh+10,000$5,100→ 10,000 totalExercise: $0.51From: 2020-05-22Exp: 2029-05-22→ Common Stock (10,000 underlying)
Holdings
- 10,000
Common Stock (right to purchase)
Exercise: $1.36From: 2012-01-31Exp: 2021-01-31→ Common Stock (10,000 underlying) - 8,100
Common Stock (right to purchase)
Exercise: $0.42From: 2017-02-23Exp: 2026-02-23→ Common Stock (8,100 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $0.90From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.68From: 2018-02-21Exp: 2027-02-21→ Common Stock (10,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.41From: 2014-02-14Exp: 2023-02-14→ Common Stock (10,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.52From: 2015-02-13Exp: 2024-02-13→ Common Stock (10,000 underlying) - 9,000
Common Stock (right to purchase)
Exercise: $0.44From: 2016-02-18Exp: 2025-02-18→ Common Stock (9,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $1.18From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $1.85From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $0.99From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.30From: 2013-08-07Exp: 2022-08-07→ Common Stock (10,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $1.10From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 10,000
Common Stock (right to purchase)
Exercise: $0.82From: 2019-05-23Exp: 2028-05-23→ Common Stock (10,000 underlying) - 389,838
Common Stock
- 2,000
Common Stock (right to purchase)
Exercise: $1.05From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying) - 2,000
Common Stock (right to purchase)
Exercise: $0.84From: 2016-11-17Exp: 2026-11-17→ Common Stock (2,000 underlying)
Footnotes (3)
- [F1]Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.
- [F2]Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
- [F3]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. 2,000 were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85, 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99.