0001209191-16-101761.txt : 20160224 0001209191-16-101761.hdr.sgml : 20160224 20160224122555 ACCESSION NUMBER: 0001209191-16-101761 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: SIEGEL RICHARD W CENTRAL INDEX KEY: 0001195154 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 161451054 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DR CITY: ROMEOVILLE STATE: IL ZIP: 60441 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-23 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001195154 SIEGEL RICHARD W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 389838 D Stock Option (right to buy) 1.36 2012-01-31 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 10000 10000 D Stock Option (right to buy) 0.415 2014-02-14 2023-02-14 Common Stock 10000 10000 D Stock Option (right to buy) 0.52 2015-02-13 2024-02-13 Common Stock 10000 10000 D Stock Option (right to buy) 0.44 2016-02-18 2025-02-18 Common Stock 9000 9000 D Stock Option (right to buy) 0.42 2016-02-23 4 A 0 8100 0.42 A 2017-02-23 2026-02-23 Common Stock 8100 8100 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 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 restrictions, beginning on this date, options vest in three equal annual installments. By Jess Jankowski under UPA for Richard W. Siegel 2016-02-24