0001209191-16-118298.txt : 20160509 0001209191-16-118298.hdr.sgml : 20160509 20160509091621 ACCESSION NUMBER: 0001209191-16-118298 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160506 FILED AS OF DATE: 20160509 DATE AS OF CHANGE: 20160509 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: 161630097 MAIL ADDRESS: STREET 1: 301 WASHINGTON ST CITY: COLUMBUS STATE: IN ZIP: 47201 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-05-06 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001182603 HENDERSON JAMES A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 2016-05-06 4 P 0 2500 0.50 A 372353 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 2016-05-09