-----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, APrYsQxAUIMQHVCLMlw0zPymUzvMMiaFhwTecSvWV8uKEAPn7mYe11mBmXt3FY+M 58mjCSncQqcwmQzA/+iZCA== 0001209191-07-021250.txt : 20070403 0001209191-07-021250.hdr.sgml : 20070403 20070403113052 ACCESSION NUMBER: 0001209191-07-021250 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070402 FILED AS OF DATE: 20070403 DATE AS OF CHANGE: 20070403 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: SIEGEL RICHARD W CENTRAL INDEX KEY: 0001195154 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 07742313 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DR CITY: ROMEOVILLE STATE: IL ZIP: 60441 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2007-04-02 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001195154 SIEGEL RICHARD W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 232372 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 2007-04-02 4 A 0 1031 A Common Stock 1031 5773 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. 1,031 shares of common stock were to be granted under the Company's 2005 Non-Employee Director Restricted Stock Plan. Such shares are vested immediately but subject to certain transfer restrictions. Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive instead 1,031 shares of deferred common stock which, along with the 4,742 similar shares granted previously, will be accounted for under the Company's Non-Employee Director Deferred Compensation Plan. The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company. Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive 1,031 shares of deferred common stock, amounting to a cumulative total of 5,773 shares of deferred common stock received (including those received from previous grants) to date, which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan. By Joseph Cross under UPA for Richard W. Siegel 2007-04-03 -----END PRIVACY-ENHANCED MESSAGE-----