SOLESENCE, INC. — Director's Dealing 2020

Oct 1, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NANOPHASE TECHNOLOGIES Corp (NANX)
CIK: 0000883107
Period of Report: 2020-09-29

Reporting Person: WHITMORE BRADFORD T (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-29	Common Stock	J	2433300	—	Acquired	19529735	Direct
2020-09-29	Common Stock	J	2433300	—	Disposed	0	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	601410	Indirect
Common Stock	51454	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
2% Second Secured Convertible Note	$0.2	2024-05-15	Common Stock (10000000)		Direct

Footnotes

F1: Distribution to reporting person in his capacity as a partner of Grace Brothers, LP.

F2: Bradford T. Whitmore is manager of BRO-GP, LLC, Grace Brothers, LP's General Partner.

F3: As manager of INV-GP, LLC, Grace Investments, LP's General Partner, Bradford T. Whitmore is an indirect beneficial owner of 601,410 shares of Common Stock.