0001209191-19-033777.txt : 20190603
0001209191-19-033777.hdr.sgml : 20190603
20190603101656
ACCESSION NUMBER: 0001209191-19-033777
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190522
FILED AS OF DATE: 20190603
DATE AS OF CHANGE: 20190603
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SIEGEL RICHARD W
CENTRAL INDEX KEY: 0001195154
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22333
FILM NUMBER: 19872431
MAIL ADDRESS:
STREET 1: 1319 MARQUETTE DR
CITY: ROMEOVILLE
STATE: IL
ZIP: 60441
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/A
1
doc4a.xml
FORM 4/A SUBMISSION
X0306
4/A
2019-05-22
2019-05-30
0
0000883107
NANOPHASE TECHNOLOGIES Corp
NANX
0001195154
SIEGEL RICHARD W
1319 MARQUETTE DRIVE
ROMEOVILLE
IL
60446
1
0
0
0
Common Stock
389838
D
Common Stock (right to purchase)
1.36
2012-01-31
2021-01-31
Common Stock
10000
10000
D
Deferred Common Stock
Common Stock
20030
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
Common Stock (right to purchase)
0.51
2019-05-22
4
A
0
10000
0.51
A
2020-05-22
2029-05-22
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.
Subject to certain restrictions, beginning on this date, 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. 2,000 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.
Dr. Siegel's Deferred Common Stock holdings were inadvertently removed from the Form 4 filed on 05/30/2019
By Jess Jankowski under UPA for Richard W. Siegel
2019-06-01