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