AI assistant
SOLESENCE, INC. — Director's Dealing 2006
Aug 30, 2006
33563_dirs_2006-08-30_2aade7c9-5a43-4c65-ab9d-ab5f511acb86.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NANOPHASE TECHNOLOGIES CORPORATION (NANX)
CIK: 0000883107
Period of Report: 2006-08-28
Reporting Person: BROTZMAN RICHARD W (VP - Research & Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2006-08-28 | Common Stock | M | 435 | $3.886 | Acquired | 435 | Direct |
| 2006-08-28 | Common Stock | S | 435 | $6.79 | Disposed | 0 | Direct |
| 2006-08-29 | Common Stock | M | 16710 | $3.886 | Acquired | 16710 | Direct |
| 2006-08-29 | Common Stock | S | 16710 | $6.88 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2006-08-29 | Common Stock (right to buy) | $3.886 | M | 17145 | Disposed | 2006-11-07 | Common Stock (21580) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock (right to buy) | $3.8125 | 2008-07-31 | Common Stock (40600) | 40600 | Direct |
| Common Stock (right to buy) | $7.6875 | 2010-05-24 | Common Stock (22500) | 22500 | Direct |
| Common Stock (right to buy) | $10.875 | 2011-01-26 | Common Stock (20000) | 20000 | Direct |
| Common Stock (right to buy) | $7.0625 | 2011-02-28 | Common Stock (20000) | 20000 | Direct |
| Common Stock (right to buy) | $6.65 | 2012-01-03 | Common Stock (20000) | 20000 | Direct |
| Common Stock (right to buy) | $3.66 | 2013-03-24 | Common Stock (20000) | 20000 | Direct |
| Common Stock (right to buy) | $5.55 | 2014-10-11 | Common Stock (11000) | 11000 | Direct |
| Common Stock (right to buy) | $6.03 | 2015-09-27 | Common Stock (10000) | 10000 | Direct |
Footnotes
F1: Dr. Brotzman sold 435 shares on 8/28/2006 and 16,710 shares on 8/29/2006. For ease of presentation in Table II, both transactions are included in this line with the latest date being used generically to describe them. Each transaction is disclosed separately in Table I.
F2: Subject to certain restrictions, 51,485 of this original option grant of 69,480 shares vested in five equal annual installments beginning on 11/07/1997, with the remainder vesting on 11/07/2004.
F3: Subject to certain restrictions, beginning on this date, options vest in five equal installments.
F4: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.