0001209191-16-151335.txt : 20161121
0001209191-16-151335.hdr.sgml : 20161121
20161121094414
ACCESSION NUMBER: 0001209191-16-151335
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: 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: 162009239
MAIL ADDRESS:
STREET 1: 200 E RANDOLPH DRIVE
CITY: CHICAGO
STATE: IL
ZIP: 60601
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-11-17
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
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
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
2017-02-23
2026-02-23
Common Stock
9720
9720
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 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 rights that 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.
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.
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 at identical exercise prices 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 James A. McClung
2016-11-21