4 1 nan4s.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ============================================================ 1. Name and Address of Reporting Person Spurgeon Corporation ------------------------------------------------------------ (Last) (First) (Middle) 290 S. County Farm Rd., 3rd Floor ------------------------------------------------------------ (Street) Wheaton, Illinois 60187 ------------------------------------------------------------ (City) (State) (Zip) ============================================================ 2. Issuer Name and Ticker or Trading Symbol Nanophase Technologies Corp. (NANX) ============================================================ 3. IRS or Social Security Number of Reporting Person, if an entity (Voluntary) ============================================================ 4. Statement for Month/Year January 2001 ============================================================ 5. If Amendment, Date of Original (Month/Year) ============================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ----------------------------------------------------- ============================================================ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting [ ] Form filed by more Person than one Reporting Person ======================================================================================================== Table I -- Non-Derivative Securities Beneficially Owned ========================================================================================================
3. Trans- 4. Securities Acquired 5. Amount of 6. Owner- 7. Nature of action (A) or Disposed of (D) Securities ship Form: Indirect 2. Tran- Code ---------------------- Beneficially Direct (D) Beneficial saction --------- (A) Owned at or Indir- Ownership 1. Title of Security Date Code V Amount or (D) Price End of Month ect (I) (Instr. 4) - ------------------- --------- ----- -- ------- ----- ------ ----------- --------- ----------- Common Stock 1/05/01 P 1,000 A 10.00 D Common Stock 1/05/01 P 1,000 A 10.00 D Common Stock 1/05/01 P 200 A 10.00 D Common Stock 1/05/01 P 400 A 10.00 D Common Stock 1/05/01 P 400 A 10.00 D Common Stock 1/05/01 P 100 A 10.00 D Common Stock 1/09/01 P 400 A 9.63 D Common Stock 1/09/01 P 400 A 9.75 D Common Stock 1/09/01 P 300 A 9.75 D Common Stock 1/11/01 P 1,000 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 300 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 500 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 800 A 9.50 D Common Stock 1/12/01 P 3,600 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/12/01 P 100 A 9.50 D Common Stock 1/19/01 P 100 A 10.38 D Common Stock 1/19/01 P 1,000 A 10.50 D Common Stock 1/19/01 P 100 A 10.50 D Common Stock 1/19/01 P 100 A 10.50 D Common Stock 1/19/01 P 1,000 A 10.50 D Common Stock 1/19/01 P 1,000 A 10.50 D Common Stock 1/19/01 P 1,000 A 10.50 D Common Stock 1/19/01 P 1,000 A 10.50 D Common Stock 1/19/01 P 800 A 10.50 D Common Stock 1/19/01 P 500 A 10.50 D Common Stock 1/19/01 P 500 A 10.50 D Common Stock 1/19/01 P 500 A 10.50 D Common Stock 1/19/01 P 500 A 10.50 2,013,943 D AS GENERAL PARTNER OF GRACE BROTHERS, LTD. WHICH OWNS 944,193 SHARES AND AS GENERAL PARTNER OF GRACE INVESTMENTS, LTD. WHICH OWNS 1,069,750 SHARES.
FORM 4 (continued) ============================================================================================================ Table II -- Derivative Securities Acquired Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ============================================================================================================
9. Num- ber of 10. Deriv- Owner- 2. 5. Number ative ship Conv- of Deriva- 7. Type and Secur- Form of ersion tive Secur- 6. Date Amount of 8. ities Deriv- Price Acquir- Exercisable and Underlying Price Bene- ative of 4. Trans- ed or Dis- Expiration Date Securities of ficial- Secur- Deriv- action posed of (D) --------------- ------------ Deriv- ly Own- ity: Di- ative 3. Tran- Code ------------ Date Expir- Amount ative ed at rect (D) 1. Title of Deri- Secur- saction --------- Exer- ation- of Secu- End of or Indi- vative Security ity Date Code V (A) (D) cisable Date Title Shares rity Month rect (I) - --------------- ----- ------- --------- ----------- ------- ------- ----- ------ ------ ------- -------
============================================================ Explanation of Responses: ============================================================ SPURGEON CORPORATION By: /s/ David J. Allen February 1, 2001 ------------------------------- -------------------- Name: David J. Allen, Date Vice President **Signature of Reporting Person **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure.