-----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, CpeEDV37rKZzhYco8XDE7qfo+laU+jR8cJw+4Z3yGEjgLtnFc8+ZtdeEBWO0t0bZ qswCsrrPIf/MO0cA+KWTxg== 0001209191-06-064885.txt : 20061214 0001209191-06-064885.hdr.sgml : 20061214 20061214160350 ACCESSION NUMBER: 0001209191-06-064885 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061212 FILED AS OF DATE: 20061214 DATE AS OF CHANGE: 20061214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIEGEL RICHARD W CENTRAL INDEX KEY: 0001195154 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 061277275 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DR CITY: ROMEOVILLE STATE: IL ZIP: 60441 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 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2006-12-12 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001195154 SIEGEL RICHARD W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 2006-12-12 4 G 0 22915 0.00 D 0 D Common Stock 209457 D Stock Option (right to buy) 5.25 1999-06-10 2008-06-10 Common Stock 2000 2000 D Stock Option (right to buy) 3.8125 1999-07-31 2008-07-31 Common Stock 11600 11600 D Stock Option (right to buy) 9.92 2002-06-05 2011-06-05 Common Stock 2000 2000 D Stock Option (right to buy) 3.78 2003-11-25 2012-11-25 Common Stock 2000 2000 D Stock Option (right to buy) 5.07 2004-06-26 2013-06-26 Common Stock 2000 2000 D Deferred Common Stock Common Stock 3754 3754 D Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. Subject to certain restrictions, beginning on this date, options vest in five equal installments. Each share of deferred common stock represents a right to receive one share of common stock. The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company. By Jess Jankowski under UPA for Richard W. Siegel 2006-12-14 -----END PRIVACY-ENHANCED MESSAGE-----