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