0000950170-24-068967.txt : 20240604
0000950170-24-068967.hdr.sgml : 20240604
20240604184919
ACCESSION NUMBER: 0000950170-24-068967
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240531
FILED AS OF DATE: 20240604
DATE AS OF CHANGE: 20240604
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: 241020079
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
2024-05-31
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001173970
WHITMORE R JANET
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
true
false
false
false
false
Common Stock
2024-05-31
4
P
false
4718
1.60
A
1874203
D
Common Stock
2024-06-03
4
P
false
5000
1.5992
A
1879203
D
Common Stock
2024-06-03
4
P
false
400
1.60
A
1879603
D
Common Stock
2024-06-04
4
P
false
10669
1.5667
A
1890272
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
This total includes 182,433 shares of Nanophase common stock purchased by Ms. Whitmore through the Company's Rights Offering. This transaction was recorded and filed in a Form 4 on 2/13/2024, but the new shares were not included in subsequent cumulative shares owned subsequent to that time.
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
2024-06-04