0001209191-12-037791.txt : 20120710
0001209191-12-037791.hdr.sgml : 20120710
20120710181409
ACCESSION NUMBER: 0001209191-12-037791
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110710
FILED AS OF DATE: 20120710
DATE AS OF CHANGE: 20120710
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: 12956709
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
X0306
4
2011-07-10
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
2012-07-10
4
X
0
684
0.33
A
2684
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
2012-05-02
2021-05-02
Common Stock
48000
48000
D
Subscription Rights (right to buy)
0.33
2012-07-10
4
X
0
2000
0.00
D
2012-06-13
2012-07-20
Common Stock
684
0
D
The shares were purchased upon exercise of subscription rights issued pro rata to holders of the issuer's common stock (the "Common Stock") as of the close of business on June 13, 2012 (the "Record Date"), to purchase 0.342 shares of Common Stock for each one share of Common Stock owned as of the close of business on the Record Date at a subscription price of $0.33 per full share under the basic subscription privilege of the issuer's rights offering. The reporting person also exercised his over-subscription privilege under the rights offering, seeking up to 342 additional shares of Common Stock at the same $0.33 price. The number of shares of Common Stock purchased by the reporting person pursuant to the exercise of his over-subscription privilege will be subject to availability and the pro rata allocation of shares among persons exercising this over-subscription privilege and will be determined subsequent to the expiration date of the rights offering.
The shares of Common Stock will be issued to the reporting person upon the expiration of the rights offering.
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.
The reporting person exercised subscription rights issued pro rata to holders of Common Stock as of the close of business on the Record Date, to purchase 0.342 shares of Common Stock for each one share of Common Stock owned as of the close of business on the Record Date at a subscription price of $0.33 per full share under the basic subscription privilege of the issuer's rights offering.
By Jess Jankowski, under UPA, for David W. Nelson
2012-07-10