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SOLESENCE, INC. — Director's Dealing 2019
May 30, 2019
33563_dirs_2019-05-30_3ef7e2bf-7beb-4100-b922-71a64c2511df.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: 2019-05-22
Reporting Person: SIEGEL RICHARD W (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-05-22 | Common Stock (right to purchase) | $0.51 | A | 10000 | Acquired | 2029-05-22 | Common Stock (10000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 389838 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock (right to purchase) | $1.36 | 2021-01-31 | Common Stock (10000) | 10000 | Direct |
| Common Stock (right to purchase) | $0.30 | 2022-08-07 | Common Stock (10000) | 10000 | Direct |
| Common Stock (right to purchase) | $0.415 | 2023-02-14 | Common Stock (10000) | 10000 | Direct |
| Common Stock (right to purchase) | $0.52 | 2024-02-13 | Common Stock (10000) | 10000 | Direct |
| Common Stock (right to purchase) | $0.44 | 2025-02-18 | Common Stock (9000) | 9000 | Direct |
| Common Stock (right to purchase) | $0.42 | 2026-02-23 | Common Stock (8100) | 8100 | Direct |
| Common Stock (right to purchase) | $0.90 | 2026-11-17 | Common Stock (2000) | 2000 | Direct |
| Common Stock (right to purchase) | $1.05 | 2026-11-17 | Common Stock (2000) | 2000 | Direct |
| Common Stock (right to purchase) | $1.18 | 2026-11-17 | Common Stock (2000) | 2000 | Direct |
| Common Stock (right to purchase) | $0.84 | 2026-11-17 | Common Stock (2000) | 2000 | Direct |
| Common Stock (right to purchase) | $1.85 | 2026-11-17 | Common Stock (2000) | 2000 | Direct |
| Common Stock (right to purchase) | $1.10 | 2026-11-17 | Common Stock (2000) | 2000 | Direct |
| Common Stock (right to purchase) | $0.99 | 2026-11-17 | Common Stock (2000) | 2000 | Direct |
| Common Stock (right to purchase) | $0.68 | 2027-02-21 | Common Stock (10000) | 10000 | Direct |
| Common Stock (right to purchase) | $0.82 | 2028-05-23 | Common Stock (10000) | 10000 | Direct |
Footnotes
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.