-----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, H6ayMngT9/oKca4RmANAO6NpqL4Fmo269Qg3JXOZ43QTBSbsijsKO1XSCc/7RZjR ezapbPL7pXSmwZcJBk9C1w== 0001209191-06-052032.txt : 20060929 0001209191-06-052032.hdr.sgml : 20060929 20060929164943 ACCESSION NUMBER: 0001209191-06-052032 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060927 FILED AS OF DATE: 20060929 DATE AS OF CHANGE: 20060929 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CROSS JOSEPH CENTRAL INDEX KEY: 0001185311 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 061117820 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DR CITY: ROMEOVILLE STATE: IL ZIP: 60441 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2006-09-27 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001185311 CROSS JOSEPH 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 1 0 0 President & CEO Common Stock 6500 D Common Stock (right to buy) 2.9375 1999-11-09 2008-11-09 Common Stock 100000 100000 D Common Stock (right to buy) 7.6875 2001-05-24 2010-05-24 Common Stock 100000 100000 D Common Stock (right to buy) 10.875 2002-01-26 2011-01-26 Common Stock 50000 50000 D Common Stock (right to buy) 7.0625 2002-02-28 2011-02-28 Common Stock 50000 50000 D Common Stock (right to buy) 6.65 2003-01-03 2012-01-03 Common Stock 55000 55000 D Common Stock (right to buy) 3.66 2004-03-24 2013-03-24 Common Stock 50000 50000 D Common Stock (right to buy) 5.55 2005-10-11 2014-10-11 Common Stock 15000 15000 D Common Stock (right to buy) 6.03 2006-09-27 2015-09-27 Common Stock 15000 15000 D Common Stock (right to buy) 6.01 2006-09-27 4 A 0 20000 6.01 A 2007-09-27 2016-09-27 Common Stock 20000 20000 D Common Stock (right to buy) 2.1875 2000-01-04 2009-01-04 Common Stock 50000 50000 D Subject to certain restrictions, beginning on this date, options vest in five equal installments. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. Joseph Cross 2006-09-29 -----END PRIVACY-ENHANCED MESSAGE-----