0001209191-21-071587.txt : 20211230 0001209191-21-071587.hdr.sgml : 20211230 20211230130756 ACCESSION NUMBER: 0001209191-21-071587 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211228 FILED AS OF DATE: 20211230 DATE AS OF CHANGE: 20211230 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIEGEL RICHARD W CENTRAL INDEX KEY: 0001195154 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 211531868 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 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-12-28 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001195154 SIEGEL RICHARD W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 389838 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 2020-05-22 2029-05-22 Common Stock 10000 10000 D Common Stock (right to purchase) 0.45 2021-06-18 2027-06-18 Common Stock 15000 15000 D Common Stock (right to purchase) 4.17 2021-12-28 4 A 0 15000 4.17 A 2022-12-28 2028-12-28 Common Stock 15000 15000 D 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 rights and restrictions, beginning on this date, options vest in three equal annual installments. 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 Richard W. Siegel 2021-12-30