-----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, GUsriay2MBcysUnMb2WN1tFU7V+kHH4XTGRAi7I+4bFmotHCRaMCdswIBeduUrDB wzIY/iyfTh+tw8DNvfg6OQ== 0001209191-09-046427.txt : 20091001 0001209191-09-046427.hdr.sgml : 20091001 20091001170423 ACCESSION NUMBER: 0001209191-09-046427 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: WHITMORE R JANET CENTRAL INDEX KEY: 0001173970 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 091099362 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 0001173970 WHITMORE R JANET 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 14475 I By Daughter Common Stock 159816 D Stock Option (right to buy) 5.55 2004-11-24 2013-11-24 Common Stock 10000 10000 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 R. Janet Whitmore 2009-10-01 -----END PRIVACY-ENHANCED MESSAGE-----