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