0001209191-14-010674.txt : 20140214 0001209191-14-010674.hdr.sgml : 20140214 20140214114650 ACCESSION NUMBER: 0001209191-14-010674 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: MCCLUNG JAMES A CENTRAL INDEX KEY: 0001051331 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 14612890 MAIL ADDRESS: STREET 1: 200 E RANDOLPH DRIVE CITY: CHICAGO STATE: IL ZIP: 60601 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-02-13 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001051331 MCCLUNG JAMES A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 30071 I By Wife Common Stock 17582 D Stock Option (right to buy) 1.36 2012-01-31 2021-01-31 Common Stock 12000 12000 D Deferred Common Stock Common Stock 2250 21596 D Stock Appreciation Right 0.99 Common Stock 2250 15750 D Stock Option (right to buy) 0.30 2013-08-07 2022-08-07 Common Stock 12000 12000 D Stock Option (right to buy) 0.415 2014-02-14 2023-02-14 Common Stock 12000 12000 D Stock Option (right to buy) 0.52 2014-02-13 4 A 0 12000 0.52 A 2015-02-13 2024-02-13 Common Stock 12000 12000 D 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 21,596 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. 2,250 were issued 4/8/2009 at a conversion price of $0.90, 2,250 were issued 7/1/2009 at a conversion price of $1.05, 2,250 were issued 10/1/2009 at a conversion price of $1.18, 2,250 were issued 1/4/2010 at a conversion price of $0.84, 2,250 were issued 4/1/2010 at a conversion price of $1.85, 2,250 were issued 7/1/2010 at a conversion price of $1.10, and 2,250 were issued 10/1/2010 at a conversion price of $0.99. Beginning on this date, and subject to certain restrictions, the stock options vest in three equal annual installments. By Jess Jankowski under UPA for James A. McClung 2014-02-14