0001209191-18-050412.txt : 20180911
0001209191-18-050412.hdr.sgml : 20180911
20180911124743
ACCESSION NUMBER: 0001209191-18-050412
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180907
FILED AS OF DATE: 20180911
DATE AS OF CHANGE: 20180911
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: 181064452
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
2018-09-07
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
2018-09-07
4
P
0
4900
0.85
A
1280406
D
Common Stock (right to purchase)
1.36
2012-01-31
2021-01-31
Common Stock
10000
10000
D
Deferred Common Stock
Common Stock
2000
20030
D
Common Stock (right to purchase)
0.30
2013-08-07
2022-08-07
Common Stock
10000
10000
D
Common Stock (right to purchase)
0.415
2014-02-14
2023-02-14
Common Stock
10000
10000
D
Common Stock (right to purchase)
0.52
2015-02-13
2024-02-13
Common Stock
10000
10000
D
Common Stock (right to purchase)
0.44
2016-02-18
2025-02-18
Common Stock
9000
9000
D
Common Stock (right to purchase)
0.42
2017-02-23
2026-02-23
Common Stock
8100
8100
D
Common Stock (right to purchase)
0.90
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.05
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.18
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
0.84
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.85
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
1.10
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
0.99
2016-11-17
2026-11-17
Common Stock
2000
2000
D
Common Stock (right to purchase)
0.68
2018-02-21
2027-02-21
Common Stock
10000
10000
D
Common Stock (right to purchase)
0.82
2019-05-23
2028-05-23
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 Jess Jankowski under UPA for R. Janet Whitmore
2018-09-11