-----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, C5pl5BOmdFFWM8JwMTXD1a4bYcpOeva064vOIbEoDJ5jRZuF8dh0EUDzf+j6iDOT q1ogvrWVNH+aJUifTRYXZA== 0001181431-03-002214.txt : 20030213 0001181431-03-002214.hdr.sgml : 20030213 20030213124729 ACCESSION NUMBER: 0001181431-03-002214 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020103 FILED AS OF DATE: 20030213 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: BILICKI DANIEL S CENTRAL INDEX KEY: 0001185307 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 5 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DR CITY: ROMEOVILLE STATE: IL ZIP: 60441 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 03557837 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 5 1 rrd4907.htm FORM 5 SEC Form 5
FORM 5

[  ] Check this box if no longer
subject to Section 16. Form 4 or Form 5 obligations may continue.
See Instruction 1(b).

[  ] Form 3 Holdings Reported

[  ] Form 4 Transactions Reported
 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

ANNUAL 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
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1. Name and Address of Reporting Person*
Bilicki, Daniel
(Last)                      (First)                      (Middle)
1319 Marquette Drive
(Street)
Romeoville,    IL   60446
(City)                      (State)                      (Zip)
2. Issuer Name
and Ticker or Trading Symbol

Nanophase Technologies Corporation
NANX
3. I.R.S. Identification
    Number of Reporting
    Person, if an entity
    (voluntary)
4. Statement for
    Month/Year

12/2002

5. If Amendment,
    Date of Original
    (Month/Year)
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

   Director      10% Owner
X Officer (give title below)        Other (specify below)

Description           VP - Sales & Marketing
7. Individual or Joint/Group
    Filing (Check Applicable Line)

X   Form filed by One Reporting Person
     Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security
    (Instr. 3)
2.Transaction
Date
(Month/Day/Year)
2A. Deemed Execution Date, if any
(Month/Day/Year)
 3. Transaction
    Code
    (Instr. 8) 		4. Securities Acquired (A) or Disposed Of (D)
    (Instr. 3, 4, and 5)



        Amount      /         A/D         /         Price          
5. Amount of
    Securities
    Beneficially
    Owned at end of
    Issuer's Fiscal Year

    (Instr. 3 and 4)
6. Owner-
    ship
    Form:
    Direct (D)
    or
    Indirect (I)

    (Instr. 4)
7. Nature of
     Indirect
     Beneficial
     Ownership

    (Instr. 4)
Common Stock
/ / $
5,000
D
 
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
    (Instr. 3)
2. Conver-
    sion or
    Exercise
    Price of
    Deri-
    vative
    Security
3. Transaction Date

(Month/
Day/
Year)
3A. Deemed Execution Date, if any

(Month/
Day/
Year)
 4. Transaction Code
    (Instr.8) 		5. Number of Derivative
    Securities Acquired (A)
    or Disposed Of (D)

    (Instr. 3, 4 and 5)




  A     or     D  
6. Date Exercisable(DE) and
    Expiration Date(ED)
    (Month/Day/Year)





  DE     /     ED  
7. Title and Amount of
    Underlying Securities
    (Instr. 3 and 4)





Title     /         Amount or Number of Shares
8. Price
    of
    Derivative
    Security
    (Instr.5)
 9. Number of
    Derivative
    Securities
    Beneficially
    Owned
    at End of Year
    Reported
    Transaction(s)
    (Instr.4) 		10. Owner-
ship
Form of
Deriv-
ative
Securities:
Direct (D)
or
Indirect (I)

(Instr.4) 		11. Nature of
      Indirect
      Beneficial
      Ownership
      (Instr.4)
Stock Option (right to buy) $2.375
03/15/2000 (1) / 03/15/2009
Common Stock / 50,000
$
50,000
D
Stock Option (right to buy) $1.75
07/27/2000 (2) / 07/27/2009
Common Stock / 50,000
$
50,000
D
Stock Option (right to buy) $7.6875
05/24/2001 (2) / 05/24/2010
Common Stock / 50,000
$
50,000
D
Stock Option (right to buy) $10.875
01/26/2002 (2) / 01/26/2011
Common Stock / 30,000
$
30,000
D
Stock Option (right to buy) $7.0625
02/28/2002 (2) / 02/28/2011
Common Stock / 30,000
$
30,000
D
Stock Option (right to buy) $6.65 01/03/2002
A
 30,000 A
01/03/2003 (2) / 01/03/2012
Common Stock / 30,000
$
30,000
D
Explanation of Responses:
 
(1) Subject to certain restrictions, beginning on this date, options vest in five equal
    annual installments.

(2) Subject to certain restrictions, beginning on this date, options vest in three equal
    annual installments.
By: Date:
/s/ Daniel S. Bilicki 02/13/2003
** Signature of Reporting Person
SEC 2270 (09-02)


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** 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 is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB Number.
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