0001209191-18-033134.txt : 20180524 0001209191-18-033134.hdr.sgml : 20180524 20180524183034 ACCESSION NUMBER: 0001209191-18-033134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180523 FILED AS OF DATE: 20180524 DATE AS OF CHANGE: 20180524 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: 18859112 MAIL ADDRESS: STREET 1: 200 E RANDOLPH DRIVE CITY: CHICAGO STATE: IL ZIP: 60601 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-05-23 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 Common Stock (right to purchase) 1.36 2012-01-31 2021-01-31 Common Stock 12000 12000 D Deferred Common Stock Common Stock 2250 21596 D Common Stock (right to purchase) 0.30 2013-08-07 2022-08-07 Common Stock 12000 12000 D Common Stock (right to purchase) 0.415 2014-02-14 2023-02-14 Common Stock 12000 12000 D Common Stock (right to purchase) 0.52 2015-02-13 2024-02-13 Common Stock 12000 12000 D Common Stock (right to purchase) 0.44 2016-02-18 2025-02-18 Common Stock 10800 10800 D Common Stock (right to purchase) 0.42 2017-02-23 2026-02-23 Common Stock 9720 9720 D Common Stock (right to purchase) 0.90 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.05 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.18 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 0.84 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.85 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.10 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 0.99 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 0.68 2018-02-21 2027-02-21 Common Stock 12000 12000 D Common Stock (right to purchase) 0.82 2018-05-23 4 A 0 12000 0.82 A 2019-05-23 2028-05-23 Common Stock 12000 12000 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. 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 2018-05-24