SLSN

SEC source: 0001209191-22-056830 · 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: 0001209191-22-056830 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,200

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 13

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,017

Underlying: Common Stock · 69,217 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 4

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 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,200

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: 0001209191-22-056269 · doc4.xml · derivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,217

Underlying: Common Stock · 69,517 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: 0001209191-22-056269 · 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: 0001209191-22-056269 · doc4.xml · nonDerivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,300

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.

SEC source: 0001209191-22-056269 · doc4.xml · derivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,517

Underlying: Common Stock · 72,517 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: 0001209191-22-056269 · 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: 0001209191-22-056269 · 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: 0001209191-22-056269 · doc4.xml · derivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,517

Underlying: Common Stock · 74,017 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: 0001209191-22-056269 · 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: 0001209191-22-056269 · 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: 0001209191-22-055875 · doc4.xml · derivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,017

Underlying: Common Stock · 75,017 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.

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: 0001209191-22-055875 · 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: 0001209191-22-055875 · doc4.xml · nonDerivative · entry 7

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: 0001209191-22-055965 · doc4a.xml · derivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,017

Underlying: Common Stock · 75,017 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.

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: 0001209191-22-055965 · doc4a.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: 0001209191-22-055965 · doc4a.xml · nonDerivative · entry 7

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: 0001209191-22-055875 · doc4.xml · derivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,017

Underlying: Common Stock · 79,300 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: 0001209191-22-055875 · 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: 0001209191-22-055875 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,283

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: 0001209191-22-055965 · doc4a.xml · derivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,017

Underlying: Common Stock · 79,300 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: 0001209191-22-055965 · doc4a.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: 0001209191-22-055965 · doc4a.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,283

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: 0001209191-22-055875 · doc4.xml · derivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,300

Underlying: Common Stock · 86,700 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: 0001209191-22-055875 · 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: 0001209191-22-055875 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,400

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.

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: 0001209191-22-055965 · doc4a.xml · derivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,300

Underlying: Common Stock · 86,700 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: 0001209191-22-055965 · doc4a.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: 0001209191-22-055965 · doc4a.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,400

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.

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: 0001209191-22-054667 · doc4.xml · derivative · entry 8

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,700

Underlying: Common Stock · 87,500 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: 0001209191-22-054667 · 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: 0001209191-22-054667 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,800

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: 0001209191-22-054667 · doc4.xml · derivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 90,000 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.

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: 0001209191-22-054667 · 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: 0001209191-22-054667 · doc4.xml · nonDerivative · entry 3

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

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 · 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: 0001209191-22-043088 · 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 2022-08-07

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: 0001209191-22-043088 · doc4.xml · nonDerivative · entry 2

SIEGEL RICHARD W · CIK 0001195154 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,838

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: 0001209191-22-043087 · doc4.xml · derivative · entry 4

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2022-08-07

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: 0001209191-22-043087 · doc4.xml · nonDerivative · entry 2

WHITMORE R JANET · CIK 0001173970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,477,055

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: 0001209191-22-038759 · doc4.xml · derivative · entry 11

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,560 shares

Expires 2022-08-07

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 · kind: These options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings.

SEC source: 0001209191-22-038759 · 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: 0001209191-22-038759 · doc4.xml · nonDerivative · entry 7

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,560

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 options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings.

SEC source: 0001209191-22-038759 · doc4.xml · derivative · entry 10

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,560

Underlying: Common Stock · 18,560 shares

Expires 2022-08-07

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 · kind: These options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings.

SEC source: 0001209191-22-038759 · 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: 0001209191-22-038759 · doc4.xml · nonDerivative · entry 5

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

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 options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings.

SEC source: 0001209191-22-038759 · doc4.xml · derivative · entry 9

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,560

Underlying: Common Stock · 43,560 shares

Expires 2022-08-07

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 · kind: These options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings.

SEC source: 0001209191-22-038759 · doc4.xml · nonDerivative · entry 4

JANKOWSKI JESS · CIK 0001184478 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,000