0000933430-16-000008.txt : 20160602 0000933430-16-000008.hdr.sgml : 20160602 20160602163549 ACCESSION NUMBER: 0000933430-16-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160531 FILED AS OF DATE: 20160602 DATE AS OF CHANGE: 20160602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 FORMER COMPANY: FORMER CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION DATE OF NAME CHANGE: 19970305 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: 161692948 MAIL ADDRESS: STREET 1: 1603 ORRINGTON AVE., STE 900 CITY: EVANSTON STATE: IL ZIP: 60201 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-05-31 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0000933430 WHITMORE BRADFORD T 1603 ORRINGTON AVE., STE 900 EVANSTON IL 60201 0 0 1 0 Common Stock 2016-05-31 4 P 0 5013 0.505 A 10329522 D Common Stock 2016-06-01 4 P 0 100 0.505 A 10329622 D Common Stock 2016-06-01 4 P 0 4735 0.5049 A 10334357 D Common Stock 2016-06-02 4 P 0 10200 0.5089 A 10344557 D As a result of the transactions reported herein, Bradford T. Whitmore directly owns 10,344,557 shares of Common Stock. Bradford T. Whitmore is also an indirect beneficial owner, as General Partner of Grace Brothers, Ltd. of 2,433,300 shares, and General Partner of Grace Investments, Ltd. of 601,410 shares. Bradford T. Whitmore 2016-06-02