SLSN

SEC source: 0000933430-24-000002 · primary_doc.xml · nonDerivative · entry 2

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · by Strandler, LLC

Disclosed balance after: 8,684,270

F1 · ownership.direct: As sole member of Strandler, LLC, Bradford T. Whitmore is an indirect beneficial owner of 8,684,270 shares of Common Stock.

SEC source: 0000933430-24-000002 · primary_doc.xml · nonDerivative · entry 1

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,467,020

SEC source: 0001209191-24-003167 · doc4.xml · nonDerivative · entry 2

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,458

F1 · price: These shares were purchased as part of the Company's recent shareholder rights offering.

SEC source: 0001209191-24-002189 · doc4.xml · derivative · entry 2

Cureton Kevin · CIK 0001563513 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 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: 0001209191-24-002189 · doc4.xml · nonDerivative · entry 1

Cureton Kevin · CIK 0001563513 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,821

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.

SEC source: 0001209191-24-002024 · doc4.xml · derivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,450 shares

Expires 2024-02-13

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

SEC source: 0001209191-24-002024 · doc4.xml · nonDerivative · entry 2

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,450

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.

SEC source: 0001209191-23-059980 · doc4.xml · derivative · entry 11

Cureton Kevin · CIK 0001563513 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,600

Underlying: Common Stock · 12,600 shares

Expires 2030-12-27

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

SEC source: 0001209191-23-059981 · doc4.xml · derivative · entry 4

Beres Laura M · CIK 0001826480 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,600

Underlying: Common Stock · 12,600 shares

Expires 2030-12-27

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

SEC source: 0001209191-23-059982 · doc4.xml · derivative · entry 12

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,600

Underlying: Common Stock · 12,600 shares

Expires 2030-12-27

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

SEC source: 0001209191-23-059983 · doc4.xml · derivative · entry 2

Miller Mark E · CIK 0001985746 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,600

Underlying: Common Stock · 12,600 shares

Expires 2030-12-27

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

SEC source: 0001209191-23-059979 · doc4.xml · derivative · entry 15

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,600

Underlying: Common Stock · 12,600 shares

Expires 2030-12-27

F6 · derivative.exercise_date: Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments.

SEC source: 0001209191-23-048852 · doc4.xml · derivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,450

Underlying: Common Stock · 69,950 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F5 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.

SEC source: 0001209191-23-048852 · doc4.xml · nonDerivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-048852 · doc4.xml · nonDerivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-048852 · doc4.xml · derivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,950

Underlying: Common Stock · 72,450 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-048852 · doc4.xml · nonDerivative · entry 6

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-048852 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-048852 · doc4.xml · derivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,450

Underlying: Common Stock · 73,450 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-048852 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-048852 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-048252 · doc4.xml · derivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,450

Underlying: Common Stock · 75,950 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F5 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.

SEC source: 0001209191-23-048252 · doc4.xml · nonDerivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-048252 · doc4.xml · nonDerivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-048252 · doc4.xml · derivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,950

Underlying: Common Stock · 78,450 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-048252 · doc4.xml · nonDerivative · entry 6

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-048252 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-048252 · doc4.xml · derivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,450

Underlying: Common Stock · 80,950 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-048252 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-048252 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-047878 · doc4.xml · derivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,950

Underlying: Common Stock · 83,450 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-047878 · doc4.xml · nonDerivative · entry 6

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-047878 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-047878 · doc4.xml · derivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,450

Underlying: Common Stock · 85,950 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-047878 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-047878 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-047892 · doc4.xml · nonDerivative · entry 2

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,645,312

SEC source: 0001209191-23-047549 · doc4.xml · derivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,950

Underlying: Common Stock · 86,450 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-047549 · doc4.xml · nonDerivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-047549 · doc4.xml · nonDerivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-047549 · doc4.xml · derivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,450

Underlying: Common Stock · 87,500 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-047549 · doc4.xml · nonDerivative · entry 6

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-047549 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,050

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0001209191-23-047549 · doc4.xml · derivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 90,000 shares

Expires 2024-02-13

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.

F3 · shares: These stock options are set to expire on 02/13/2024. 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 guidelines, 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.

F4 · derivative.exercise_date: Subject to certain restrictions, beginning on this date, options vest in three equal installments.

SEC source: 0001209191-23-047549 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,000

F2 · shares: If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released. In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days. Typically, this would reopen trading in early-to-mid March, through March 24th. The next blackout period would begin on March 25th, etc. Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.

SEC source: 0001209191-23-047549 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,500

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 · shares: These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights. His goal is to have this broker sell shares from this grant, under fixed guidelines, 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: 0000933430-23-000009 · primary_doc.xml · nonDerivative · entry 3

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,406,868

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.0973 to $1.1595. The reporting person undertakes to provide, upon request by the staff of the SEC, the issuer, or a security holder of the issuer, full information regarding the number of shares transacted at each price, with respect to all transactions reported on the Form 4.

SEC source: 0000933430-23-000009 · primary_doc.xml · nonDerivative · entry 2

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,404,768

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $1.00. The reporting person undertakes to provide, upon request by the staff of the SEC, the issuer, or a security holder of the issuer, full information regarding the number of shares transacted at each price, with respect to all transactions reported on the Form 4.

SEC source: 0000933430-23-000009 · primary_doc.xml · nonDerivative · entry 1

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,365,219

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $0.93. The reporting person undertakes to provide, upon request by the staff of the SEC, the issuer, or a security holder of the issuer, full information regarding the number of shares transacted at each price, with respect to all transactions reported on the Form 4.

SEC source: 0001209191-23-042957 · doc4.xml · derivative · entry 1

Miller Mark E · CIK 0001985746 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-07-19

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