-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, H8VT2FcjcbF4PfQzEKvrzyKdI+Em8PnnyJhwI5PSp4Xj1BlXsD2a5kMRhtdyM5J0 4ZSrGKez+BjgUjQUSQWs+A== 0001061060-01-500006.txt : 20010307 0001061060-01-500006.hdr.sgml : 20010307 ACCESSION NUMBER: 0001061060-01-500006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010228 FILED AS OF DATE: 20010305 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-22333 FILM NUMBER: 1561437 BUSINESS ADDRESS: STREET 1: 453 COMMERCE ST CITY: BURR RIDGE STATE: IL ZIP: 60521 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 453 COMMERCE STREET CITY: BURR RIDGE STATE: IL ZIP: 60521 COMPANY DATA: COMPANY CONFORMED NAME: SPURGEON CORP CENTRAL INDEX KEY: 0001061060 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 363385123 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 290 S COUNTY FARM RD STREET 2: THIRD FL CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 6305887200 MAIL ADDRESS: STREET 1: 290 S COUNTY FARM RD STREET 2: THIRD FL CITY: WHEATON STATE: IL ZIP: 60187 4 1 nan4b2.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 Whitmore Bradford T. - ------------------------------------------------------------ (Last) (First) (Middle) 1560 Sherman Ave., Suite 900 - ------------------------------------------------------------ (Street) Evanston, Illinois 60201 - ------------------------------------------------------------ (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 February 2001 ============================================================ 5. If Amendment, Date of Original (Month/Year) ============================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [X] 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 2/07/01 P 100 A 9.38 I Common Stock 2/07/01 P 100 A 9.38 I Common Stock 2/07/01 P 100 A 9.38 I Common Stock 2/07/01 P 900 A 9.50 I Common Stock 2/07/01 P 100 A 9.56 I Common Stock 2/07/01 P 100 A 9.56 I Common Stock 2/07/01 P 100 A 9.61 I Common Stock 2/07/01 P 100 A 9.61 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 100 A 9.63 I Common Stock 2/07/01 P 400 A 9.31 I Common Stock 2/07/01 P 100 A 9.44 I Common Stock 2/07/01 P 100 A 9.44 I Common Stock 2/07/01 P 100 A 9.44 I Common Stock 2/07/01 P 100 A 9.38 I Common Stock 2/07/01 P 100 A 9.41 I Common Stock 2/07/01 P 600 A 9.31 I Common Stock 2/07/01 P 100 A 9.34 I Common Stock 2/07/01 P 3,200 A 9.38 I Common Stock 2/07/01 P 100 A 9.44 I Common Stock 2/07/01 P 100 A 9.47 I Common Stock 2/07/01 P 100 A 9.47 I Common Stock 2/07/01 P 100 A 9.47 I Common Stock 2/07/01 P 100 A 9.47 I Common Stock 2/07/01 P 100 A 9.47 I Common Stock 2/07/01 P 100 A 9.50 I Common Stock 2/07/01 P 100 A 9.50 I Common Stock 2/07/01 P 100 A 9.50 I Common Stock 2/07/01 P 2,700 A 9.50 I Common Stock 2/07/01 P 2,700 A 9.50 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 200 A 9.75 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 500 A 9.75 I Common Stock 2/07/01 P 1,000 A 9.75 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 700 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 700 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 200 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 100 A 9.72 I Common Stock 2/07/01 P 1,500 A 9.69 I Common Stock 2/07/01 P 100 A 9.25 I Common Stock 2/07/01 P 1,500 A 9.25 2,035,443 I AS GENERAL PARTNER OF GRACE BROTHERS, LTD. WHICH OWNS 965,693 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: ============================================================ /s/ Bradford T. Whitmore March 1, 2001 - ------------------------------- ----------------------- **Signature of Reporting Person Date **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. -----END PRIVACY-ENHANCED MESSAGE-----