0000950170-24-063065.txt : 20240521
0000950170-24-063065.hdr.sgml : 20240521
20240521171922
ACCESSION NUMBER: 0000950170-24-063065
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240517
FILED AS OF DATE: 20240521
DATE AS OF CHANGE: 20240521
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WHITMORE R JANET
CENTRAL INDEX KEY: 0001173970
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22333
FILM NUMBER: 24970771
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp
CENTRAL INDEX KEY: 0000883107
STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844]
ORGANIZATION NAME: 08 Industrial Applications and Services
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
4
1
ownership.xml
4
X0508
4
2024-05-17
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001173970
WHITMORE R JANET
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
true
false
false
false
false
Common Stock
2024-05-17
4
P
false
2437
1.40
A
1661612
D
Common Stock
2024-05-20
4
P
false
5100
1.48
A
1666712
D
Common Stock
2024-05-20
4
P
false
1300
1.47
A
1668012
D
Deferred Common Stock
Common Stock
20030
20030
D
Common Stock (right to purchase)
0.9
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
Common Stock (right to purchase)
0.61
2024-12-27
2030-12-27
Common Stock
12600
12600
D
Each share of deferred common stock represents the 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 Compensaion 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. Two-thousand shares 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.
Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
/s/ Jess Jankowski under UPA for R. Janet Whitmore
2024-05-21