-----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, TamIFcnt/rfTSo2L5tYt2erIH1KUyakuF0VP+KP2R0Ff9C2uU1GvCqpsNVXEq9LA PvJMTNFDPPvH6qVF9y5wJg== 0001209191-11-005905.txt : 20110201 0001209191-11-005905.hdr.sgml : 20110201 20110201095141 ACCESSION NUMBER: 0001209191-11-005905 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: PEARLMAN JERRY K CENTRAL INDEX KEY: 0001074385 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 11561607 MAIL ADDRESS: STREET 1: 21 LINDEN AVENUE CITY: WILMETTE STATE: IL ZIP: 60091 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 0001074385 PEARLMAN JERRY K 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 31948 D Stock Option (right to buy) 7.625 2001-05-25 2010-05-25 Common Stock 2000 2000 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) 1.36 2011-01-31 4 A 0 10000 1.36 A 2014-01-31 2021-01-31 Common Stock 10000 10000 D Deferred Common Stock Common Stock 2000 20030 D Stock Appreciation Right 0.99 Common Stock 2000 14000 D Subject to certain rights and 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, 2,000 were issued 10/1/2009 at a conversion price of $1.18, 2,000 were issued 1/4/2010 at a conversion price of $0.84, 2,000 were issued 4/1/2010 at a conversion price of $1.85, 2,000 were issued 7/1/2010 at a conversion price of $1.10, and 2,000 were issued 10/1/2010 at a conversion price of $0.99. By Jess Jankowski under UPA for Jerry K. Pearlman 2011-02-01 -----END PRIVACY-ENHANCED MESSAGE-----