0001209191-17-013314.txt : 20170222
0001209191-17-013314.hdr.sgml : 20170222
20170222164840
ACCESSION NUMBER: 0001209191-17-013314
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170221
FILED AS OF DATE: 20170222
DATE AS OF CHANGE: 20170222
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: 17629090
MAIL ADDRESS:
STREET 1: 301 WASHINGTON ST
CITY: COLUMBUS
STATE: IN
ZIP: 47201
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-02-21
0
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001182603
HENDERSON JAMES A
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
1
0
0
0
Common Stock
482115
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 Option (right to buy)
0.52
2015-02-13
2024-02-13
Common Stock
10000
5000
D
Common Stock (right to buy)
0.44
2016-02-18
2025-02-18
Common Stock
4500
9000
D
Common Stock (right to buy)
0.42
2017-02-23
2026-02-23
Common Stock
12150
12150
D
Common Stock (right to buy)
0.90
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to buy)
1.05
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to buy)
1.18
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to buy)
0.84
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to buy)
1.85
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to buy)
1.10
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to buy)
0.99
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to buy)
0.68
2017-02-21
4
A
0
15000
0.68
A
2018-02-21
2027-02-21
Common Stock
15000
15000
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 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. 2,000 were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85, 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99.
By Jess Jankowski under UPA for James A. Henderson
2017-02-22