0001193125-16-607362.txt : 20160531 0001193125-16-607362.hdr.sgml : 20160531 20160531084349 ACCESSION NUMBER: 0001193125-16-607362 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 1 13p-1 1.01 20151231 FILED AS OF DATE: 20160531 DATE AS OF CHANGE: 20160531 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 161684000 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 SD 1 d188993dsd.htm SD SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

 

 

NANOPHASE TECHNOLOGIES CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   0-22333   36-3687863

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

1319 Marquette Drive, Romeoville, Illinois 60446

(Address of principal executive offices) (Zip Code)

Frank J. Cesario

Chief Financial Officer

(630) 771-6705

(Name and Telephone Number, Including Area Code, of

the Person to Contact in Connection with this Report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

  x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015

 

 

 

Section 1 – Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

Overview

This Form SD of Nanophase Technologies Corporation (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (the “Rule”), for the reporting period from January 1, 2015 to December 31, 2015.

The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products for which the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten (the “Conflict Minerals”). The “Covered Countries” for the purposes of the Rule are the Democratic Republic of the Congo and adjoining countries, which include the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.

The Company is an advanced materials and applications developer and commercial manufacturer with an integrated family of nanomaterial and related technologies. The Company produces engineered nano and larger, sub-micron materials for use in a variety of diverse markets: personal care including sunscreens, architectural coatings, industrial coating applications, abrasion-resistant additives, plastics additives, medical diagnostics, energy and a variety of surface finishing technologies (polishing) applications. The Company conducted an analysis of its products and concluded that its solar control applications and certain of its coating applications (the “Products”), which contain tin and/or tungsten, are its only products for which a Conflict Mineral is necessary to the functionality or production of such product. The Products were first sold by the Company to third parties and entered into the stream of commerce during calendar year 2015. Purchases of tin and tungsten were infrequent during calendar year 2015, and these minerals were purchased from only two suppliers.

Reasonable Country of Origin Inquiry

The Company conducted a good faith reasonable country of origin inquiry regarding the Products. The Company believes its good faith reasonable country of origin inquiry was reasonably designed to determine whether any of the Conflict Minerals contained in the Products originated in the Covered Countries and whether any of the Conflict Minerals contained in the Products were from recycled or scrap sources.

In particular, in conducting its reasonable country of origin inquiry, the Company contacted its two suppliers of the tin and tungsten utilized in the Products and received written representations from each supplier that the tin or tungsten, as applicable, contained in the Products was not sourced from the Covered Countries or was from recycled or scrap sources. Based on this reasonable country of origin inquiry, the Company determined that it has no reason to believe that the Conflict Minerals necessary to the functionality or production of the Products may have originated in the Covered Countries.

This Form SD is publicly available on the Company’s website at www.nanophase.com on the Investors Relations page, under the heading “Conflict Minerals Disclosure.”

 

Item 1.02 Exhibit

Not applicable.

Section 2 – Exhibits

 

Item 2.01 Exhibits

None.

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Dated: May 31, 2016

 

NANOPHASE TECHNOLOGIES CORPORATION
By:   /s/ Frank Cesario
  Name:   Frank Cesario
  Title:   Chief Financial Officer