-----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, VDuXtHXnCUUdUyK7Dx8JHfTNJGHgLNizTQB+MXd/mfY6uvyCZJFbLiiQHLWZylkH CDfL6xmsmLJE2aXp6QHZHQ== 0001209191-08-053947.txt : 20080930 0001209191-08-053947.hdr.sgml : 20080930 20080930192926 ACCESSION NUMBER: 0001209191-08-053947 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080929 FILED AS OF DATE: 20080930 DATE AS OF CHANGE: 20080930 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAINES ROBERT W CENTRAL INDEX KEY: 0001185312 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 081098299 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 X0303 4 2008-09-29 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001185312 HAINES ROBERT W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 VP - Operations Common Stock 2008-09-29 4 F 0 442 1.21 D 2116 D Stock Option (right to buy) 10.1875 2002-01-22 2011-01-22 Common Stock 30000 30000 D Stock Option (right to buy) 6.65 2003-01-03 2012-01-03 Common Stock 40000 40000 D Stock Option (right to buy) 3.66 2004-03-24 2013-03-24 Common Stock 30000 30000 D Stock Option (right to buy) 5.55 2005-10-11 2014-10-11 Common Stock 11000 11000 D Stock Option (right to buy) 5.84 2009-07-24 2016-07-24 Common Stock 20000 20000 D Stock Option (right to buy) 6.03 2006-09-27 2015-09-27 Common Stock 10000 10000 D Stock Appreciation Right 6.01 2007-09-27 2016-09-27 Common Stock 15000 15000 D Stock Option (right to buy) 4.48 2008-11-06 2017-11-06 Common Stock 15000 15000 D Stock Option (right to buy) 3.14 2009-05-12 2018-05-12 Common Stock 23000 23000 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. Subject to certain restrictions, beginning on this date, these stock appreciation rights vest in three equal annual installments. This dispostion of shares represents shares withheld by Nanophase to cover taxes due upon vesting of 1,500 restricted shares that, immediately upon vesting, represent ordinary income to Mr. Haines. By Jess Jankowski, under UPA, for Robert W. Haines 2008-09-30 -----END PRIVACY-ENHANCED MESSAGE-----