-----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, RBkDBD4e8qkAmjTDCWMWzIhxExACKOxWoRFmFs2TnwgAsplnSDpnPkaRYd2NLX0V p2NrEeQZ3VFhJAqv3QOuhQ== 0000950137-98-000419.txt : 19980217 0000950137-98-000419.hdr.sgml : 19980217 ACCESSION NUMBER: 0000950137-98-000419 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD GROUP MEMBERS: BATTERSON LEONARD A GROUP MEMBERS: BATTERSON, JOHNSON & WANG L.P. GROUP MEMBERS: LEONARD BATTERSON SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52413 FILM NUMBER: 98533817 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BATTERSON LEONARD A CENTRAL INDEX KEY: 0001034213 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O BATTERSON JOHNSON & WNG STREET 2: 303 WEST MADISON STREET CITY: CHICAGO STATE: IL ZIP: 60606 SC 13G 1 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (AMENDMENT NO. __)* NANOPHASE TECHNOLOGIES CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, par value $.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 630079 10 1 --------------------------------------------------- (CUSIP Number) ----------------------- *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 9 2 SCHEDULE 13G - -------------------------- ---------------------- CUSIP No. 630079 10 1 Page 2 of 9 Pages - -------------------------- ---------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) BATTERSON JOHNSON & WANG L.P. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 1,068,934 ------------------------------------------------------ 6. SHARED VOTING POWER -0- NUMBER OF SHARES BENEFICIALLY ------------------------------------------------------ OWNED BY 7. SOLE DISPOSITIVE POWER EACH REPORTING 1,068,934 PERSON WITH ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,068,934 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.6% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 SCHEDULE 13G - -------------------------- ---------------------- CUSIP NO. 630079 10 1 Page 3 of 9 Pages - -------------------------- ---------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) LEONARD A. BATTERSON - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER -0- ------------------------------------------------------ 6. SHARED VOTING POWER 1,068,934 NUMBER OF SHARES BENEFICIALLY ------------------------------------------------------ OWNED BY 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- PERSON WITH ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 1,068,934 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [x] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 - -------------------------- -------------------- CUSIP No. 630079 10 1 Page 4 of 9 Pages - -------------------------- -------------------- ITEM 1(a) NAME OF ISSUER: Nanophase Technologies Corporation ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 453 Commerce Street Burr Ridge, Illinois 60521 ITEM 2(a) NAME OF PERSON FILING: Batterson Johnson & Wang L.P. Leonard A. Batterson ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OF, IF NONE, RESIDENCE: Batterson Johnson & Wang L.P. 303 West Madison Street Suite 1100 Chicago, Illinois 60606 Leonard A. Batterson c/o Batterson Johnson & Wang L.P. 303 West Madison Street Suite 1100 Chicago, Illinois 60606 ITEM 2(c) CITIZENSHIP: Batterson Johnson & Wang L.P.: Delaware Leonard A. Batterson: U.S.A. ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share ITEM 2(e) CUSIP NUMBER: 630079 10 1 ITEM 3. TYPE OF PERSON: Not Applicable. 5 - ------------------------- -------------------- CUSIP No. 630079 10 1 Page 5 of 9 Pages - ------------------------- -------------------- ITEM 4. OWNERSHIP: (a) AMOUNT BENEFICIALLY OWNED: Batterson Johnson & Wang L.P.: 1,068,934(1) Leonard A. Batterson: -0- (2) (b) PERCENT OF CLASS: Batterson Johnson & Wang L.P.: 8.6% (1) Leonard A. Batterson: 0.0% (2) (c) NUMBER OF SHARES AS TO WHICH PERSON HAS: Batterson Johnson & Wang L.P.: (i) sole power to vote or to direct the vote: 1,068,934(1) (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 1,068,934 (1) (iv) shared power to dispose or to direct the disposition of: -0- Leonard A. Batterson: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 1,068,934 (2) (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 1,068,934 (2) ________________ (1) Includes an aggregate of 178,154 shares of Common Stock issuable upon exercise of warrants presently exercisable by Batterson Johnson & Wang L.P. ("BJ&W"). (2) Leonard Batterson is the managing general partner of BJ&W and in such capacity he shares voting and investment power with respect to the shares of Common Stock held by BJ&W and, therefore, may be deemed to be the beneficial owner of the shares of Common Stock directly owned by BJ&W, which would equal 8.6% of the Common Stock outstanding as of December 31, 1997. Mr. Batterson disclaims this beneficial ownership. 6 - -------------------------- -------------------- CUSIP No. 630079 10 1 Page 6 of 9 Pages - -------------------------- -------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not Applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not Applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not Applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP: Not Applicable. ITEM 10. CERTIFICATION: Not Applicable. 7 - -------------------------- -------------------- CUSIP No. 630079 10 1 Page 7 of 9 Pages - -------------------------- -------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 1998 BATTERSON JOHNSON & WANG L.P. By: /s/ LEONARD A. BATTERSON ------------------------------- Its: General Partner 8 - ------------------------- -------------------- CUSIP No. 630079 10 1 Page 8 of 9 Pages - ------------------------- -------------------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 1998 /s/ LEONARD A. BATTERSON -------------------------------- Leonard A. Batterson 9 - ------------------------- -------------------- CUSIP No. 630079 10 1 Page 9 of 9 Pages - ------------------------- -------------------- EXHIBIT 1 JOINT FILING Batterson Johnson & Wang L.P. and Leonard A. Batterson hereby agree that the Schedule 13G to which this Agreement is attached is being filed on behalf of each of Batterson Johnson & Wang L.P. and Leonard A. Batterson. Date: February 12, 1998 BATTERSON JOHNSON & WANG L.P. By: /s/ LEONARD A. BATTERSON ----------------------------------- Its: General Partner /s/ LEONARD A. BATTERSON -------------------------------------- Leonard A. Batterson -----END PRIVACY-ENHANCED MESSAGE-----