0001209191-16-101748.txt : 20160224 0001209191-16-101748.hdr.sgml : 20160224 20160224121456 ACCESSION NUMBER: 0001209191-16-101748 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160223 FILED AS OF DATE: 20160224 DATE AS OF CHANGE: 20160224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 FORMER COMPANY: FORMER CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION DATE OF NAME CHANGE: 19970305 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: 161451021 MAIL ADDRESS: STREET 1: 200 E RANDOLPH DRIVE CITY: CHICAGO STATE: IL ZIP: 60601 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-23 0 0000883107 NANOPHASE TECHNOLOGIES Corp 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 2015-02-13 2024-02-13 Common Stock 12000 12000 D Stock Option (right to buy) 0.44 2016-02-18 2025-02-18 Common Stock 10800 10800 D Stock Option (right to buy) 0.42 2016-02-23 4 A 0 9720 0.42 A 2017-02-23 2026-02-23 Common Stock 9720 9720 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. Beginning on this date, and subject to certain restrictions, options vest in three equal annual installments. By Jess Jankowski under UPA for James A. McClung 2016-02-24