Form Type: 4

SEC EDGAR Link
Acccession Number:0000933430-19-000005
Date:2019-05-13
Issuer: NANOPHASE TECHNOLOGIES CORP (NANX)
Original Submission Date:

Reporting Person:

WHITMORE BRADFORD T
1603 ORRINGTON AVE., STE 900
EVANSTON, IL 60201

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-05-13 P 4,189,000 a $0.40 17,096,435 direct
COMMON STOCK 0 $0.00 2,433,300 f1 indirect
COMMON STOCK 0 $0.00 601,410 f2 indirect
COMMON STOCK 0 $0.00 51,454 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 as manager of bro-gp, llc, grace brothers, lp's general partner, bradford t. whitmore is an indirect beneficial owner of 2,433,300 shares of common stock.
f2 as manager of inv-gp, llc, grace investments, lp's general partner, bradford t. whitmore is an indirect beneficial owner of 601,410 shares of common stock.

Elevate your investments