0001209191-12-030888.txt : 20120529 0001209191-12-030888.hdr.sgml : 20120529 20120529105708 ACCESSION NUMBER: 0001209191-12-030888 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120524 FILED AS OF DATE: 20120529 DATE AS OF CHANGE: 20120529 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HENDERSON JAMES A CENTRAL INDEX KEY: 0001182603 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 12873035 MAIL ADDRESS: STREET 1: 301 WASHINGTON ST CITY: COLUMBUS STATE: IN ZIP: 47201 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 X0305 4 2012-05-24 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001182603 HENDERSON JAMES A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 2012-05-24 2012-05-24 4 P 0 13200 0.35 A 21610 D Common Stock 2012-05-24 2012-05-24 4 P 0 6034 0.37 A 27644 D Common Stock 2012-05-24 2012-05-24 4 P 0 30766 0.40 A 58410 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 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 restrictions, beginning on this date, options vest in three equal annual installments. Subject to certain rights and restrictions, 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 James A. Henderson 2012-05-29