-----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, BlVYVjL0JZOjaDOR1x00X5JdkljeA4AyU+d7t+sZ8CPgc3CgkkGgmNBY0MV9nmKG 3eEFtDb8eQkvbWr6AcE1Mw== 0001209191-09-046411.txt : 20091001 0001209191-09-046411.hdr.sgml : 20091001 20091001170024 ACCESSION NUMBER: 0001209191-09-046411 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091001 FILED AS OF DATE: 20091001 DATE AS OF CHANGE: 20091001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HENDERSON JAMES A CENTRAL INDEX KEY: 0001182603 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 091099324 MAIL ADDRESS: STREET 1: 301 WASHINGTON ST CITY: COLUMBUS STATE: IN ZIP: 47201 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 2009-10-01 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001182603 HENDERSON JAMES A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 8410 D Stock Option (right to buy) 8.57 2002-07-17 2011-07-17 Common Stock 10000 10000 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 2000 20030 D Stock Appreciation Right 1.18 2009-10-01 4 A 0 2000 0.00 A Common Stock 2000 6000 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. 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 a cumulative total of 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan. The stock appreciation right becomes payable upon the reporting person's termination of service as a director of the Company. 2,000 were issued 4/8/2009 at a conversion price of $0.90, 2,000 were issued 7/1/2009 at a conversion price of $1.05, and 2,000 were issued 10/1/2009 at a conversion price of $1.18. By Jess Jankowski under UPA for James A. Henderson 2009-10-01 -----END PRIVACY-ENHANCED MESSAGE-----