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SOLESENCE, INC. — Director's Dealing 2016
Feb 24, 2016
33563_dirs_2016-02-24_9cc20b83-9c1f-45f2-a427-8db856379682.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NANOPHASE TECHNOLOGIES Corp (NANX)
CIK: 0000883107
Period of Report: 2016-02-23
Reporting Person: Vincent George A (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-02-23 | Stock Option (right to buy) | $0.42 | A | 8100 | Acquired | 2026-02-23 | Common Stock (8100) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $4.48 | 2017-11-06 | Common Stock (10000) | 10000 | Direct |
| Stock Option (right to buy) | $1.36 | 2021-01-31 | Common Stock (12000) | 12000 | Direct |
| Deferred Common Stock | $ | Common Stock (2250) | 12652 | Direct | |
| Stock Appreciation Right | $0.99 | Common Stock (2250) | 15750 | Direct | |
| Stock Option (right to buy) | $0.30 | 2022-08-07 | Common Stock (12000) | 12000 | Direct |
| Stock Option (right to buy) | $0.415 | 2023-02-14 | Common Stock (10000) | 10000 | Direct |
| Stock Option (right to buy) | $0.52 | 2024-02-13 | Common Stock (10000) | 10000 | Direct |
| Stock Option (right to buy) | $0.44 | 2025-02-18 | Common Stock (9000) | 9000 | Direct |
Footnotes
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 12,652 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. 2,250 were issued 4/8/2009 at a conversion price of $0.90, 2,250 were issued 7/1/2009 at a conversion price of $1.05, 2,250 were issued 10/1/2009 at a conversion price of $1.18, 2,250 were issued 1/4/2010 at a conversion price of $0.84, 2,250 were issued 4/1/2010 at a conversion price of $1.85, 2,250 were issued 7/1/2010 at a conversion price of $1.10, and 2,250 were issued 10/1/2010 at a conversion price of $0.99.