SLSN

SEC source: 0001209191-22-060425 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,100

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.

F1 · price: 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: 0000933430-22-000008 · primary_doc.xml · nonDerivative · entry 3

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,937,243

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.1503 to $1.2069. 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: 0000933430-22-000008 · primary_doc.xml · nonDerivative · entry 2

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,845,243

SEC source: 0001209191-22-060428 · doc4.xml · derivative · entry 8

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2023-02-14

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.

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

SEC source: 0001209191-22-060428 · doc4.xml · nonDerivative · entry 4

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,523,342

SEC source: 0001209191-22-060428 · doc4.xml · nonDerivative · entry 3

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,519,055

SEC source: 0001209191-22-060428 · doc4.xml · nonDerivative · entry 2

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,499,055

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: 0001209191-22-060425 · doc4.xml · derivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,310

Underlying: Common Stock · 26,126 shares

Expires 2023-02-14

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.

F5 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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: 0001209191-22-060425 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F2 · date: 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.

F3 · price: These shares were sold in four separate transactions, all at $1.21 per share.

SEC source: 0001209191-22-060425 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,816

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.

F1 · price: 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: 0000933430-22-000008 · primary_doc.xml · nonDerivative · entry 1

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,844,793

SEC source: 0001209191-22-059718 · doc4.xml · derivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,126

Underlying: Common Stock · 27,126 shares

Expires 2023-02-14

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.

F4 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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: 0001209191-22-059718 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F2 · date: 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.

F3 · price: The price reported is a weighted average price. These shares were sold through multiple transactions, two in all, at prices ranging from $1.50 to $1.51.

SEC source: 0001209191-22-059718 · doc4.xml · nonDerivative · entry 3

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.

F1 · price: 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: 0001209191-22-059680 · doc4.xml · nonDerivative · entry 3

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,489,055

SEC source: 0001209191-22-059680 · doc4.xml · nonDerivative · entry 2

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,482,055

SEC source: 0001209191-22-058923 · doc4.xml · derivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,126

Underlying: Common Stock · 30,126 shares

Expires 2023-02-14

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.

F5 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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: 0001209191-22-058923 · doc4.xml · nonDerivative · entry 6

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F2 · date: 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.

F4 · price: The price reported is a weighted average price. These shares were sold through multiple transactions, four in all, at prices ranging from $1.35 to $1.41.

SEC source: 0001209191-22-058923 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,000

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: 0001209191-22-058923 · doc4.xml · derivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,126

Underlying: Common Stock · 31,626 shares

Expires 2023-02-14

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.

F5 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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: 0001209191-22-058923 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F2 · date: 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.

F3 · price: The price reported is a weighted average price. These shares were sold through multiple transactions, five in all, at prices ranging from $1.40 to $1.40.

SEC source: 0001209191-22-058923 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,500

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 · 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.

F1 · price: 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: 0001209191-22-058550 · doc4.xml · derivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,626

Underlying: Common Stock · 34,226 shares

Expires 2023-02-14

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.

F5 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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: 0001209191-22-058550 · doc4.xml · nonDerivative · entry 6

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F2 · date: 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.

F4 · price: The price reported is a weighted average price. These shares were sold through multiple transactions, five in all, at prices ranging from $1.36 to $1.40.

SEC source: 0001209191-22-058550 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,600

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: 0000933430-22-000007 · primary_doc.xml · nonDerivative · entry 3

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,758,475

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.395 to $1.40. 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 this Form 4.

SEC source: 0001209191-22-058550 · doc4.xml · derivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,226

Underlying: Common Stock · 44,226 shares

Expires 2023-02-14

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.

F5 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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: 0001209191-22-058550 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

F2 · date: 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.

F3 · price: The price reported is a weighted average price. These shares were sold through multiple transactions, eleven in all, at prices ranging from $1.37 to $1.45.

SEC source: 0001209191-22-058550 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,000

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.

F1 · price: 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 · derivative · entry 19

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,226

Underlying: Common Stock · 53,626 shares

Expires 2023-02-14

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.

F2 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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 8

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 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

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 · 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: 0000933430-22-000007 · primary_doc.xml · nonDerivative · entry 2

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,685,075

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.30 to $1.40. 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: 0001209191-22-057747 · doc4.xml · derivative · entry 18

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,626

Underlying: Common Stock · 53,631 shares

Expires 2023-02-14

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.

F2 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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 6

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 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,005

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: 0000933430-22-000007 · primary_doc.xml · nonDerivative · entry 1

WHITMORE BRADFORD T · CIK 0000933430 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,637,915

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.38 to $1.40. 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: 0001209191-22-057747 · doc4.xml · derivative · entry 17

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,631

Underlying: Common Stock · 55,931 shares

Expires 2023-02-14

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.

F2 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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 4

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 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,300

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.

F1 · price: 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: 0001209191-22-061888 · doc4.xml · derivative · entry 4

SIEGEL RICHARD W · CIK 0001195154 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2023-02-14

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.

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

SEC source: 0001209191-22-061888 · doc4.xml · nonDerivative · entry 2

SIEGEL RICHARD W · CIK 0001195154 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,838

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: 0001209191-22-062389 · doc4.xml · derivative · entry 3

SIEGEL RICHARD W · CIK 0001195154 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2023-02-14

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.

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

SEC source: 0001209191-22-056830 · doc4.xml · derivative · entry 15

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,931

Underlying: Common Stock · 62,431 shares

Expires 2023-02-14

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.

F2 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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 12

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

SEC source: 0001209191-22-056830 · doc4.xml · nonDerivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,500

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 · 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 · derivative · entry 14

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,431

Underlying: Common Stock · 69,017 shares

Expires 2023-02-14

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.

F2 · date: These stock options are set to expire on 02/14/2023. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker. His goal is to have this 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 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

SEC source: 0001209191-22-056830 · doc4.xml · nonDerivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000

SEC source: 0001209191-22-056830 · doc4.xml · nonDerivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,400

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.