-----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, MR+ppCKUT1HngWcLiQU3tjLenkefC2Laxss71znf6iSrVSI/uQaqf0GZsgCWI+C2 wMMqdaNsYjUj8da1IWq/tg== 0001209191-10-048370.txt : 20101004 0001209191-10-048370.hdr.sgml : 20101004 20101004093400 ACCESSION NUMBER: 0001209191-10-048370 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101001 FILED AS OF DATE: 20101004 DATE AS OF CHANGE: 20101004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vincent George A CENTRAL INDEX KEY: 0001417929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 101104157 MAIL ADDRESS: STREET 1: C/O NANOPHASE TECHNOLOGIES STREET 2: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 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 2010-10-01 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001417929 Vincent George A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Stock Option (right to buy) 4.48 2008-11-06 2017-11-06 Common Stock 10000 10000 D Deferred Common Stock Common Stock 2250 12652 D Stock Appreciation Right 0.99 2010-10-01 4 A 0 2250 0.00 A Common Stock 2250 15750 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 12,652 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. 2,250 were issued 4/8/2009 at a conversion price of $0.90, 2,250 were issued 7/1/2009 at a conversion price of $1.05, 2,250 were issued 10/1/2009 at a conversion price of $1.18, 2,250 were issued 1/4/2010 at a conversion price of $0.84, 2,250 were issued 4/1/2010 at a conversion price of $1.85, 2,250 were issued 7/1/2010 at a conversion price of $1.10, and 2,250 were issued 10/1/2010 at a conversion price of $0.99. By Jess Jankowski under UPA for George A. Vincent 2010-10-04 -----END PRIVACY-ENHANCED MESSAGE-----