-----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, IwRHYwQPfDsGEvHvvEzs/jvYXCe61E2Au/QrPKCsUYeTP9FvuVHdu2AZUQKG151b YHOqTGYtpIcOknnWzoMMOQ== 0001209191-08-040882.txt : 20080702 0001209191-08-040882.hdr.sgml : 20080702 20080702174805 ACCESSION NUMBER: 0001209191-08-040882 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080701 FILED AS OF DATE: 20080702 DATE AS OF CHANGE: 20080702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PEARLMAN JERRY K CENTRAL INDEX KEY: 0001074385 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 08935779 BUSINESS ADDRESS: BUSINESS PHONE: 8472518560 MAIL ADDRESS: STREET 1: 21 LINDEN AVENUE CITY: WILMETTE STATE: IL ZIP: 60091 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 X0303 4 2008-07-01 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001074385 PEARLMAN JERRY K 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 31948 D Stock Option (right to buy) 7.625 2001-05-25 2010-05-25 Common Stock 2000 2000 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 2008-07-01 4 A 0 2632 A Common Stock 2632 13713 D Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. Each share of deferred common stock represents a right to receive one share of common stock. 2,632 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 2,632 shares of deferred common stock which, along with the 11,081 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 2,632 shares of deferred common stock, amounting to a cumulative total of 13,713 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 Jess Jankowski under UPA for Jerry K. Pearlman 2008-07-02 -----END PRIVACY-ENHANCED MESSAGE-----