SLSN

SEC source: 0001209191-16-151334 · doc4.xml · derivative · entry 11

Vincent George A · CIK 0001417929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F6 · price: 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 with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F6 · derivative.underlying_shares: 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 with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151334 · doc4.xml · derivative · entry 10

Vincent George A · CIK 0001417929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F6 · price: 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 with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F6 · derivative.underlying_shares: 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 with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151334 · doc4.xml · derivative · entry 4

Vincent George A · CIK 0001417929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,750 shares

Expires not disclosed

F5 · security: The stock appreciation rights were to become 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.

F5 · derivative.exercise_price: The stock appreciation rights were to become 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.

F5 · price: The stock appreciation rights were to become 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.

F5 · derivative.exercise_date: The stock appreciation rights were to become 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.

F5 · derivative.expiration_date: The stock appreciation rights were to become 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.

F6 · derivative.underlying_shares: 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 with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 17

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F8 · derivative.exercise_price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F8 · price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 16

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F8 · derivative.exercise_price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F8 · price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 15

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F8 · derivative.exercise_price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F8 · price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 14

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F8 · derivative.exercise_price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F8 · price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 13

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F8 · derivative.exercise_price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F8 · price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 12

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F8 · derivative.exercise_price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F8 · price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 11

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires 2026-11-17

F8 · derivative.exercise_price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

F8 · price: 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. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99.

SEC source: 0001209191-16-151335 · doc4.xml · derivative · entry 5

MCCLUNG JAMES A · CIK 0001051331 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,750 shares

Expires not disclosed

F5 · security: The stock appreciation rights that were to become 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.

F5 · derivative.exercise_price: The stock appreciation rights that were to become 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.

F5 · price: The stock appreciation rights that were to become 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.

F5 · derivative.exercise_date: The stock appreciation rights that were to become 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.

F5 · derivative.expiration_date: The stock appreciation rights that were to become 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.

SEC source: 0000933430-16-000013 · primary_doc.xml · nonDerivative · entry 6

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,407,435

F1 · balance_after: As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,407,435 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and as General Partner of Grace Investments, Ltd. of 601,410 shares.

SEC source: 0000933430-16-000013 · primary_doc.xml · nonDerivative · entry 5

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,402,235

F1 · balance_after: As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,407,435 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and as General Partner of Grace Investments, Ltd. of 601,410 shares.

SEC source: 0000933430-16-000013 · primary_doc.xml · nonDerivative · entry 4

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,400,985

F1 · balance_after: As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,407,435 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and as General Partner of Grace Investments, Ltd. of 601,410 shares.

SEC source: 0000933430-16-000013 · primary_doc.xml · nonDerivative · entry 3

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,399,985

F1 · balance_after: As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,407,435 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and as General Partner of Grace Investments, Ltd. of 601,410 shares.

SEC source: 0000933430-16-000013 · primary_doc.xml · nonDerivative · entry 2

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,389,985

F1 · balance_after: As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,407,435 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and as General Partner of Grace Investments, Ltd. of 601,410 shares.

SEC source: 0000933430-16-000013 · primary_doc.xml · nonDerivative · entry 1

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,379,985

F1 · balance_after: As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,407,435 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and as General Partner of Grace Investments, Ltd. of 601,410 shares.

SEC source: 0001209191-16-154274 · doc4.xml · derivative · entry 11

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 4,500 shares

Expires 2025-02-18

F1 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.

SEC source: 0001209191-16-154274 · doc4.xml · derivative · entry 10

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 10,000 shares

Expires 2024-02-13

F1 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.

SEC source: 0001209191-16-154274 · doc4.xml · derivative · entry 9

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2023-02-14

F5 · derivative.exercise_date: Subject to certain rights and restrictions, options vest in three equal annual installments.

SEC source: 0001209191-16-154274 · doc4.xml · derivative · entry 8

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2022-08-07

F5 · derivative.exercise_date: Subject to certain rights and restrictions, options vest in three equal annual installments.

SEC source: 0001209191-16-154274 · doc4.xml · nonDerivative · entry 4

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 457,115

SEC source: 0001209191-16-154274 · doc4.xml · nonDerivative · entry 3

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 452,615

SEC source: 0001209191-16-154274 · doc4.xml · nonDerivative · entry 2

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,615

SEC source: 0001209191-16-154274 · doc4.xml · nonDerivative · entry 1

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,615

SEC source: 0001209191-16-154690 · doc4.xml · derivative · entry 7

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 4,500 shares

Expires 2025-02-18

F1 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.

SEC source: 0001209191-16-154690 · doc4.xml · derivative · entry 6

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 10,000 shares

Expires 2024-02-13

F1 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.

SEC source: 0001209191-16-154690 · doc4.xml · derivative · entry 5

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2023-02-14

F5 · derivative.exercise_date: Subject to certain rights and restrictions, options vest in three equal annual installments.

SEC source: 0001209191-16-154690 · doc4.xml · derivative · entry 4

HENDERSON JAMES A · CIK 0001182603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2022-08-07

F5 · derivative.exercise_date: Subject to certain rights and restrictions, options vest in three equal annual installments.

SEC source: 0001209191-18-033337 · doc4.xml · nonDerivative · entry 1

Vincent George A · CIK 0001417929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,618

F1 · balance_after: These shares of common stock were purchased in the open market during an open trading window for Company officers and directors. The Form 4s filed by the reporting person after September 3, 2014 and prior to the date of this Form 4 did not reflect these shares as being owned by the reporting person.

SEC source: 0001209191-18-033697 · doc4a.xml · nonDerivative · entry 1

Vincent George A · CIK 0001417929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,618

F1 · balance_after: These shares of common stock were purchased in the open market during an open trading window for Company officers and directors. The Form 4s filed by the reporting person after September 3, 2014 and prior to the date of this Form 4 did not reflect these shares as being owned by the reporting person.

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 16

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 15

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors.

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 14

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 13

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,100

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors.

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 12

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors.

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

SEC source: 0001209191-22-057747 · doc4.xml · nonDerivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors.

SEC source: 0001209191-22-056830 · doc4.xml · nonDerivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,986

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidleines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation & Governance Committee of the Nanophase Board of Directors.