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SOLESENCE, INC. — Director's Dealing 2013
Feb 19, 2013
33563_dirs_2013-02-19_2808f2dd-6e4c-4a79-a77c-de68677cea05.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: 2013-02-14
Reporting Person: CESARIO FRANK (Chief Financial Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-02-14 | Common Stock (right to buy) | $0.415 | A | 39000 | Acquired | 2023-02-14 | Common Stock (39000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 30000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock (right to buy) | $1.07 | 2019-06-24 | Common Stock (20000) | 20000 | Direct |
| Common Stock (right to buy) | $1.70 | 2020-05-03 | Common Stock (20000) | 20000 | Direct |
| Common Stock (right to buy) | $1.26 | 2021-05-02 | Common Stock (31000) | 31000 | Direct |
| Common Stock (right to buy) | $0.30 | 2022-08-07 | Common Stock (41000) | 41000 | Direct |
Footnotes
F1: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
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