0001209191-17-041154.txt : 20170621
0001209191-17-041154.hdr.sgml : 20170621
20170621083531
ACCESSION NUMBER: 0001209191-17-041154
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170620
FILED AS OF DATE: 20170621
DATE AS OF CHANGE: 20170621
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: WHITMORE R JANET
CENTRAL INDEX KEY: 0001173970
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22333
FILM NUMBER: 17922095
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-06-20
0
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001173970
WHITMORE R JANET
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
1
0
0
0
Common Stock
135584
I
By Daughter
Common Stock
102909
I
By Son
Common Stock
2017-06-20
4
P
0
1250
0.655
A
1136772
D
Common Stock
2017-06-20
4
P
0
2000
0.66
A
1138772
D
Stock Option (right to buy)
1.36
2012-01-31
2021-01-31
Common Stock
10000
10000
D
Deferred Common Stock
Common Stock
2000
20030
D
Stock Option (right to buy)
0.30
2013-08-07
2022-08-07
Common Stock
10000
10000
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
2026-11-17
Common Stock
2000
2000
D
Stock Option (right to buy)
1.05
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Stock Option (right to buy)
1.18
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Stock Option (right to buy)
0.84
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Stock Option (right to buy)
1.85
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Stock Option (right to buy)
1.10
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Stock Option (right to buy)
0.99
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Stock Option (right to buy)
0.68
2018-02-21
2027-02-21
Common Stock
10000
10000
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 20,030 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
Beginning on this date, subject to certain restrictions, the stock option vests 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. 2,000 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 Frank Cesario under UPA for R. Janet Whitmore
2017-06-21