0001209191-12-038895.txt : 20120724 0001209191-12-038895.hdr.sgml : 20120724 20120724160537 ACCESSION NUMBER: 0001209191-12-038895 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120720 FILED AS OF DATE: 20120724 DATE AS OF CHANGE: 20120724 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CESARIO FRANK CENTRAL INDEX KEY: 0001267497 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 12976668 MAIL ADDRESS: STREET 1: C/O ISCO INTERNATIONAL INC STREET 2: 451 KIGSTON COURT CITY: MT PROSPECT STATE: IL ZIP: 60056 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 2012-07-20 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001267497 CESARIO FRANK 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 Chief Financial Officer Common Stock 2012-07-20 4 X 0 6636 0.33 A 30000 D Common Stock (right to buy) 1.07 2010-06-24 2019-06-24 Common Stock 20000 20000 D Common Stock (right to buy) 1.70 2011-05-03 2020-05-03 Common Stock 20000 20000 D Common Stock (right to buy) 1.26 2012-05-02 2021-05-02 Common Stock 31000 31000 D The reporting person previously reported shares 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, purchasing 6,636 additional shares of Common Stock at the same $0.33 price. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. /s/ Frank Cesario 2012-07-24