0001209191-16-107507.txt : 20160310
0001209191-16-107507.hdr.sgml : 20160310
20160310093900
ACCESSION NUMBER: 0001209191-16-107507
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160229
FILED AS OF DATE: 20160310
DATE AS OF CHANGE: 20160310
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: HENDERSON JAMES A
CENTRAL INDEX KEY: 0001182603
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22333
FILM NUMBER: 161496382
MAIL ADDRESS:
STREET 1: 301 WASHINGTON ST
CITY: COLUMBUS
STATE: IN
ZIP: 47201
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-02-29
0
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001182603
HENDERSON JAMES A
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
1
0
0
0
Common Stock
2016-02-29
4
P
0
700
0.42
A
320673
D
Common Stock
2016-03-03
4
P
0
7718
0.42
A
328391
D
Common Stock
2016-03-07
4
P
0
7105
0.44
A
335496
D
Common Stock
2016-03-08
4
P
0
34257
0.44
A
369753
D
Common Stock
2016-03-09
4
P
0
100
0.43
A
369853
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
15000
15000
D
Stock Option (right to buy)
0.415
2014-02-14
2023-02-14
Common Stock
15000
15000
D
Stock Option (right to buy)
0.52
2015-02-13
2024-02-13
Common Stock
15000
15000
D
Common Stock (right to buy)
0.44
2016-02-18
2025-02-18
Common Stock
13500
13500
D
Common Stock
0.42
2017-02-23
2026-02-23
Common Stock
12150
12150
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
2016-03-10