X0508 4 2023-08-29 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001173970 WHITMORE R JANET 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 0 Common Stock 1642812 D Common Stock 2023-08-29 4 P 0 2500 1.00 A 1645312 D Deferred Common Stock Common Stock 20030 20030 D Common Stock (right to purchase) 0.90 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.05 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.18 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 0.84 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.85 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.10 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 0.99 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 0.68 2018-02-21 2027-02-21 Common Stock 10000 10000 D Common Stock (right to purchase) 0.82 2019-05-23 2028-05-23 Common Stock 10000 10000 D Common Stock (right to purchase) 0.45 2021-06-18 2027-06-18 Common Stock 6667 6667 D Common Stock (right to purchase) 4.17 2022-12-28 2028-12-28 Common Stock 20000 20000 D Common Stock (right to purchase) 1.165 2023-12-20 2029-12-20 Common Stock 20000 20000 D Each share of deferred common stock represents a right to receive one share of common stock. The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company. Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan. The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued at identical exercise prices to the conversion prices of the respective stock appreciation rights. 2,000 were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85, 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99. Beginning on this date, subject to certain restrictions, the stock option vests in three equal annual installments. Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments. By Jess Jankowski under UPA for R. Janet Whitmore 2023-09-01