SOLESENCE, INC. — Director's Dealing 2021

Nov 24, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NANOPHASE TECHNOLOGIES Corp (NANX)
CIK: 0000883107
Period of Report: 2021-11-22

Reporting Person: Cureton Kevin (Chief Operating Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-22	Common Stock	M	11668	$0.415	Acquired	37318	Direct
2021-11-22	Common Stock	S	11668	$3.9204	Disposed	25650	Direct
2021-11-24	Common Stock	M	12332	$0.415	Acquired	37982	Direct
2021-11-24	Common Stock	M	12393	$0.52	Acquired	50375	Direct
2021-11-24	Common Stock	S	24725	$3.77	Disposed	25650	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-22	Common Stock (right to purchase)	$0.415	M	11668	Disposed	2023-02-14	Common Stock (11668)	Direct
2021-11-24	Common Stock (right to purchase)	$0.415	M	12332	Disposed	2023-02-14	Common Stock (36332)	Direct
2021-11-24	Common Stock (right to purchase)	$0.52	M	12393	Disposed	2024-02-13	Common Stock (75000)	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Common Stock (right to purchase)	$0.44	2025-02-18	Common Stock (50000)	50000	Direct
Common Stock (right to purchase)	$0.42	2026-02-23	Common Stock (43500)	43500	Direct
Common Stock (right to purchase)	$0.68	2027-02-21	Common Stock (50000)	50000	Direct
Common Stock (right to purchase)	$0.82	2028-05-23	Common Stock (80000)	80000	Direct
Common Stock (right to purchase)	$0.51	2029-05-22	Common Stock (16500)	16500	Direct
Common Stock (right to purchase)	$0.45	2027-06-18	Common Stock (90000)	90000	Direct

Footnotes

F1: This line item represents the 1st sale of 11,668 shares of a total grant of 48,000 shares, leaving a balance of 36,332 shares remaining relating to this grant.

F2: This line item represents the 2nd sale, of 12,332 shares of a total initial grant of 48,000 shares, leaving a balance of 24,000 shares remaining relating to this grant.

F3: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.