-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SdgiTkrGMG8nT9DnN0vIJdYrZz8TsptdQWY7jplQAoxc3f/VePQmwfVS3Q16NLyu U138PNSmzT4mDeRULgJ/Fg== 0000933430-08-000020.txt : 20080627 0000933430-08-000020.hdr.sgml : 20080627 20080627171016 ACCESSION NUMBER: 0000933430-08-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080625 FILED AS OF DATE: 20080627 DATE AS OF CHANGE: 20080627 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITMORE BRADFORD T CENTRAL INDEX KEY: 0000933430 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 08923446 BUSINESS ADDRESS: BUSINESS PHONE: 8477331230 MAIL ADDRESS: STREET 1: 1560 SHERMAN AVE STREET 2: SUITE 900 CITY: EVANSTON STATE: IL ZIP: 60201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 453 COMMERCE ST CITY: BURR RIDGE STATE: IL ZIP: 60521 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 453 COMMERCE STREET CITY: BURR RIDGE STATE: IL ZIP: 60521 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRACE BROTHERS LTD CENTRAL INDEX KEY: 0000931217 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 08923444 BUSINESS ADDRESS: STREET 1: 1560 SHERMAN AVE SUITE 900 CITY: EVANSTON STATE: IL ZIP: 60201 BUSINESS PHONE: 8477331230 MAIL ADDRESS: STREET 1: 1560 SHERMAN AVE SUITE 900 CITY: EVANSTON STATE: IL ZIP: 60201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPURGEON CORP CENTRAL INDEX KEY: 0001061060 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 08923445 BUSINESS ADDRESS: STREET 1: 290 S COUNTY FARM RD STREET 2: THIRD FL CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 6305887200 MAIL ADDRESS: STREET 1: 290 S COUNTY FARM RD STREET 2: THIRD FL CITY: WHEATON STATE: IL ZIP: 60187 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2008-06-25 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0000933430 WHITMORE BRADFORD T 1560 SHERMAN AVE SUITE 900 EVANSTON IL 60201 0 0 1 0 0001061060 SPURGEON CORP 290 S COUNTY FARM RD THIRD FL WHEATON IL 60187 0 0 1 0 0000931217 GRACE BROTHERS LTD 1560 SHERMAN AVE SUITE 900 EVANSTON IL 60201 0 0 1 0 Common Stock 2008-06-25 4 P 0 4400 2.99 A 4052251 I * Common Stock 2008-06-25 4 P 0 599 3 A 4052850 I * Common Stock 2008-06-25 4 P 0 300 3.03 A 4053150 I * Common Stock 2008-06-25 4 P 0 3300 3.04 A 4056450 I * Common Stock 2008-06-25 4 P 0 4100 3.05 A 4060550 I * Common Stock 2008-06-25 4 P 0 21 3.06 A 4060571 I * Common Stock 2008-06-25 4 P 0 300 3.07 A 4060871 I * Common Stock 2008-06-25 4 P 0 200 3.08 A 4061071 I * Common Stock 2008-06-25 4 P 0 600 3.1 A 4061671 I * Common Stock 2008-06-25 4 P 0 6000 3.12 A 4067671 I * Common Stock 2008-06-25 4 P 0 500 3.14 A 4068171 I * Common Stock 2008-06-25 4 P 0 1900 3.15 A 4070071 I * Common Stock 2008-06-25 4 P 0 700 3.16 A 4070771 I * Common Stock 2008-06-25 4 P 0 1200 3.17 A 4071971 I * Common Stock 2008-06-25 4 P 0 2600 3.18 A 4074571 I * Common Stock 2008-06-25 4 P 0 500 3.19 A 4075071 I * Common Stock 2008-06-25 4 P 0 1798 3.2 A 4076869 I * Common Stock 2008-06-25 4 P 0 1354 3.21 A 4078223 I * Common Stock 2008-06-27 4 P 0 40000 2.09 A 4118223 I * Common Stock 2008-06-25 4 P 0 20000 2.098 A 4138223 I * Common Stock 2008-06-27 4 P 0 4500 2.12 A 4142723 I * Common Stock 2008-06-27 4 P 0 14205 2.13 A 4156928 I * Common Stock 2008-06-27 4 P 0 2400 2.1308 A 4159328 I * Common Stock 2008-06-27 4 P 0 39080 2.14 A 4198408 I * Common Stock 2008-06-27 4 P 0 1700 2.1418 A 4200108 I * Common Stock 2008-06-27 4 P 0 42700 2.15 A 4242808 I * Common Stock 2008-06-27 4 P 0 2000 2.159 A 4244808 I * Common Stock 2008-06-27 4 P 0 21300 2.16 A 4266108 I * Common Stock 2008-06-27 4 P 0 9200 2.17 A 4275308 I * Common Stock 2008-06-27 4 P 0 5100 2.18 A 4280408 I * As General Partner of Grace Brothers, Ltd. which owns 4,004,639 shares (after purchases through June 27, 2008) and as General Partner of Grace Investments, Ltd. which owns 300,000 shares, Bradford T. Whitmore is an indirect beneficial owner. As General Partner of Grace Brothers, Ltd. and as General Partner of Grace Investments, Ltd., Spurgeon Corporation is an indirect beneficial owner. Bradford T. Whitmore directly owns 272,812 shares. A continuing Form 4 will be filed to reflect the remaining transactions. Bradford T. Whitmore 2008-06-27 Jerald A. Trannel, Vice President 2008-06-27 Bradford T. Whitmore, General Partner 2008-06-27 -----END PRIVACY-ENHANCED MESSAGE-----