0001209191-11-026050.txt : 20110504 0001209191-11-026050.hdr.sgml : 20110504 20110504162742 ACCESSION NUMBER: 0001209191-11-026050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110502 FILED AS OF DATE: 20110504 DATE AS OF CHANGE: 20110504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nelson David W CENTRAL INDEX KEY: 0001446734 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 11810667 MAIL ADDRESS: STREET 1: 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 2011-05-02 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001446734 Nelson David W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 VP Sales & Marketing Common Stock 2000 D Common Stock (right to buy) 6.13 2008-04-09 2017-04-09 Common Stock 35000 35000 D Common Stock (right to buy) 4.48 2008-11-06 2017-11-06 Common Stock 15000 15000 D Common Stock (right to buy) 3.14 2009-05-12 2018-05-12 Common Stock 20000 2000 D Common Stock (right to buy) 1.02 2010-05-04 2019-05-04 Common Stock 30000 30000 D Common Stock (right to buy) 1.70 2011-05-03 2020-05-03 Common Stock 27000 27000 D Common Stock (right to buy) 1.26 2011-05-02 4 A 0 48000 1.26 A 2012-05-02 2021-05-02 Common Stock 48000 48000 D Subject to certain restrictions, beginning on this date, options vest in five equal anual installments. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. By Jess Jankowski, under UPA, for David W. Nelson 2011-05-04