-----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, NDzwxCGFZEV9p54mwaFH0GExXvm5j4sPKvnrF3Z4KpGVbw5QyuOS++cb4JrNMa5w uDCBLRj288PVE/ZY70iFjg== 0001209191-11-005904.txt : 20110201 0001209191-11-005904.hdr.sgml : 20110201 20110201094646 ACCESSION NUMBER: 0001209191-11-005904 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110131 FILED AS OF DATE: 20110201 DATE AS OF CHANGE: 20110201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERKINS DONALD S CENTRAL INDEX KEY: 0001194065 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 11561593 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 2011-01-31 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001194065 PERKINS DONALD S 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 48811 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 Stock Option (right to buy) 3.13 2009-01-22 2018-01-22 Common Stock 15000 15000 D Stock Option (right to buy) 1.36 2011-01-31 4 A 0 15000 1.36 A 2014-01-31 2021-01-31 Common Stock 15000 15000 D Deferred Common Stock Common Stock 2750 24727 D Stock Appreciation Right 0.99 Common Stock 2750 19250 D Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments. Subject to certain restrictions, beginning on this date, options vest in two 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 24,727 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. 2,750 were issued 4/8/2009 at a conversion price of $0.90, 2,750 were issued 7/1/2009 at a conversion price of $1.05, 2,750 were issued 10/1/2009 at a conversion price of $1.18, 2,750 were issued 1/4/2010 at a conversion price of $0.84, 2,750 were issued 4/1/2010 at a conversion price of $1.85, 2,750 were issued 7/1/2010 at a conversion price of $1.10, and 2,750 were issued 10/1/2010 at a conversion price of $0.99. By Jess Jankowski under UPA for Donald S. Perkins 2011-02-01 -----END PRIVACY-ENHANCED MESSAGE-----