0001209191-14-010666.txt : 20140214 0001209191-14-010666.hdr.sgml : 20140214 20140214112424 ACCESSION NUMBER: 0001209191-14-010666 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140213 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Murray Patrick G CENTRAL INDEX KEY: 0001446735 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 14612668 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-02-13 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001446735 Murray Patrick G 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 VP Research & Development Common Stock 1503 D Common Stock (right to buy) 5.55 2005-10-11 2014-10-11 Common Stock 3000 3000 D Common Stock (right to buy) 6.03 2006-09-27 2015-09-27 Common Stock 3000 3000 D Common Stock (right to buy) 6.01 2007-09-27 2016-09-27 Common Stock 9000 9000 D Common Stock (right to buy) 4.48 2008-11-06 2017-11-06 Common Stock 9000 9000 D Common Stock (right to buy) 3.14 2009-05-12 2018-05-12 Common Stock 16000 16000 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 43000 43000 D Common Stock (right to buy) 0.30 2013-08-07 2022-08-07 Common Stock 52000 52000 D Common Stock (right to buy) 0.415 2014-02-14 2023-02-14 Common Stock 48000 48000 D Common Stock (right to buy) 0.52 2014-02-13 4 A 0 50000 0.52 A 2015-02-13 2024-02-13 Common Stock 50000 50000 D Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. By Jess Jankowski, under UPA, for Patrick G. Murray 2014-02-14