0001209191-13-027989.txt : 20130522 0001209191-13-027989.hdr.sgml : 20130522 20130522103518 ACCESSION NUMBER: 0001209191-13-027989 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130520 FILED AS OF DATE: 20130522 DATE AS OF CHANGE: 20130522 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: 13863937 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 X0306 4 2013-05-20 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001182603 HENDERSON JAMES A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 2013-05-20 4 P 0 1275 0.41 A 125765 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 Stock Option (right to buy) 0.30 2013-08-07 2022-08-07 Common Stock 15000 15000 D Stock Option (right to buy) 0.415 2014-02-14 2023-02-14 Common Stock 15000 15000 D Subject to certain 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. Subject to certain rights and restrictions, options vest in three equal annual installments. By Jess Jankowski under UPA for James A. Henderson 2013-05-22