0001209191-12-038899.txt : 20120724
0001209191-12-038899.hdr.sgml : 20120724
20120724164027
ACCESSION NUMBER: 0001209191-12-038899
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: SIEGEL RICHARD W
CENTRAL INDEX KEY: 0001195154
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22333
FILM NUMBER: 12976963
MAIL ADDRESS:
STREET 1: 1319 MARQUETTE DR
CITY: ROMEOVILLE
STATE: IL
ZIP: 60441
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
0001195154
SIEGEL RICHARD W
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
1
0
0
0
Common Stock
2012-07-20
4
X
0
128870
0.33
A
389838
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
20030
20030
D
Stock Appreciation Right
Common Stock
14000
14000
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 128,870 additional shares of Common Stock at the same $0.33 price.
The reporting person's shares have been adjusted to reflect a gift of stock on 12/12/2006 which was properly reported on a Form 4 filing but not accounted for in subsequent share holding disclosures.
Subject to certain rights and restrictions, beginning on this date, 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 Richard W. Siegel
2012-07-24