0001209191-16-151334.txt : 20161121 0001209191-16-151334.hdr.sgml : 20161121 20161121092214 ACCESSION NUMBER: 0001209191-16-151334 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161117 FILED AS OF DATE: 20161121 DATE AS OF CHANGE: 20161121 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: Vincent George A CENTRAL INDEX KEY: 0001417929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 162009210 MAIL ADDRESS: STREET 1: C/O NANOPHASE TECHNOLOGIES STREET 2: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-11-17 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001417929 Vincent George A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Stock Option (right to buy) 4.48 2008-11-06 2017-11-06 Common Stock 10000 10000 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 12652 D Stock Appreciation Right 1.18 2016-11-17 4 D 0 15750 1.18 D Common Stock 15750 0 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 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 2017-02-23 2026-02-23 Common Stock 8100 8100 D Stock Option (right to buy) 0.90 2016-11-17 4 A 0 2250 0.90 A 2016-11-17 2026-11-17 Common Stock 2250 2250 D Stock Option (right to buy) 1.05 2016-11-17 4 A 0 2250 1.05 A 2016-11-17 2026-11-17 Common Stock 2250 2250 D Stock Option (right to buy) 1.18 2016-11-17 4 A 0 2250 1.18 A 2016-11-17 2026-11-17 Common Stock 2250 2250 D Stock Option (right to buy) 0.84 2016-11-17 4 A 0 2250 0.84 A 2016-11-17 2026-11-17 Common Stock 2250 2250 D Stock Option (right to buy) 1.85 2016-11-17 4 A 0 2250 1.85 A 2016-11-17 2026-11-17 Common Stock 2250 2250 D Stock Option (right to buy) 1.10 2016-11-17 4 A 0 2250 1.10 A 2016-11-17 2026-11-17 Common Stock 2250 2250 D Stock Option (right to buy) 0.99 2016-11-17 4 A 0 2250 0.99 A 2016-11-17 2026-11-17 Common Stock 2250 2250 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 12,652 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan. The stock appreciation rights were to become 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. The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99. By Jess Jankowski under UPA for George A. Vincent 2016-11-21