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SOLESENCE, INC. — Director's Dealing 2012
Aug 9, 2012
33563_dirs_2012-08-09_faedcac5-d592-40b6-bb9c-970caf4d9876.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NANOPHASE TECHNOLOGIES CORPORATION (NANX)
CIK: 0000883107
Period of Report: 2012-07-20
Reporting Person: Murray Patrick G (VP Research & Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-07-20 | Common Stock | X | 753 | $0.33 | Acquired | 1503 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-07-20 | Subscription Rights (right to buy) | $0.33 | X | 750 | Disposed | 2012-07-20 | Common Stock (256) | Direct |
| 2012-08-07 | Common Stock (right to buy) | $0.30 | A | 52000 | Acquired | 2022-08-07 | Common Stock (52000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock (right to buy) | $5.55 | 2014-10-11 | Common Stock (3000) | 3000 | Direct |
| Common Stock (right to buy) | $6.03 | 2015-09-27 | Common Stock (3000) | 3000 | Direct |
| Common Stock (right to buy) | $6.01 | 2016-09-27 | Common Stock (9000) | 9000 | Direct |
| Common Stock (right to buy) | $4.48 | 2017-11-06 | Common Stock (9000) | 9000 | Direct |
| Common Stock (right to buy) | $3.14 | 2018-05-12 | Common Stock (16000) | 16000 | Direct |
| Common Stock (right to buy) | $1.02 | 2019-05-04 | Common Stock (30000) | 30000 | Direct |
| Common Stock (right to buy) | $1.70 | 2020-05-03 | Common Stock (27000) | 27000 | Direct |
| Common Stock (right to buy) | $1.26 | 2021-05-02 | Common Stock (43000) | 43000 | Direct |
Footnotes
F1: The reporting person exercised subscription rights issued pro rata to holders of Common Stock as of the close of business on the Record Date, to purchase 0.342 shares of Common Stock for each one share of Common Stock owned as of the close of business on the Record Date at a subscription price of $0.33 per full share under the basic subscription privilege of the issuer's rights offering, as well as additional shares under the oversubscription privilege.
F2: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
F3: The reporting person exercised subscription rights issued pro rata to holders of Common Stock as of the close of business on the Record Date, to purchase 0.342 shares of Common Stock for each one share of Common Stock owned as of the close of business on the Record Date at a subscription price of $0.33 per full share under the basic subscription privilege of the issuer's rights offering.