<SEC-DOCUMENT>0001999371-23-001068-index.html : 20240124 <SEC-HEADER>0001999371-23-001068.hdr.sgml : 20240124 <ACCEPTANCE-DATETIME>20231218215604 <PRIVATE-TO-PUBLIC> ACCESSION NUMBER: 0001999371-23-001068 CONFORMED SUBMISSION TYPE: S-1/A PUBLIC DOCUMENT COUNT: 16 FILED AS OF DATE: 20231219 DATE AS OF CHANGE: 20231221 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] ORGANIZATION NAME: 08 Industrial Applications and Services IRS NUMBER: 363687863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-1/A SEC ACT: 1933 Act SEC FILE NUMBER: 333-275696 FILM NUMBER: 231495490 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 </SEC-HEADER> <DOCUMENT> <TYPE>S-1/A <SEQUENCE>1 <FILENAME>nano-s1a_121923.htm <DESCRIPTION>AMENDMENT TO FORM S-1 <TEXT> Document 1 - file: nano-s1a_121923.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.11 <SEQUENCE>3 <FILENAME>ex4-11.htm <DESCRIPTION>SUBSCRIPTION RIGHTS CERTIFICATE <TEXT> Document 3 - file: ex4-11.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-5.1 <SEQUENCE>4 <FILENAME>ex5-1.htm <DESCRIPTION>OPINION OF TAFT STETTINIUS & HOLLISTER LLP <TEXT> Document 4 - file: ex5-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-8.1 <SEQUENCE>5 <FILENAME>ex8-1.htm <DESCRIPTION>OPINION OF TAFT STETTINIUS & HOLLISTER LLP <TEXT> Document 5 - file: ex8-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.69 <SEQUENCE>6 <FILENAME>ex10-69.htm <DESCRIPTION>RIGHTS OFFERING BACKSTOP AGREEMENT <TEXT> Document 6 - file: ex10-69.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-23.1 <SEQUENCE>7 <FILENAME>ex23-1.htm <DESCRIPTION>CONSENT OF RSM US LLP <TEXT> Document 7 - file: ex23-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>8 <FILENAME>ex99-1.htm <DESCRIPTION>FORM OF INSTRUCTIONS <TEXT> Document 8 - file: ex99-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.2 <SEQUENCE>9 <FILENAME>ex99-2.htm <DESCRIPTION>FORM OF LETTER TO STOCKHOLDERS <TEXT> Document 9 - file: ex99-2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.3 <SEQUENCE>10 <FILENAME>ex99-3.htm <DESCRIPTION>FORM OF LETTER TO NOMINEE HOLDERS <TEXT> Document 10 - file: ex99-3.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.4 <SEQUENCE>11 <FILENAME>ex99-4.htm <DESCRIPTION>FORM OF LETTER TO CLIENTS OF NOMINEE HOLDERS <TEXT> Document 11 - file: ex99-4.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.5 <SEQUENCE>12 <FILENAME>ex99-5.htm <DESCRIPTION>FORM OF BENEFICIAL OWNER ELECTION <TEXT> Document 12 - file: ex99-5.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.6 <SEQUENCE>13 <FILENAME>ex99-6.htm <DESCRIPTION>FORM OF NOMINEE HOLDER CERTIFICATION <TEXT> Document 13 - file: ex99-6.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>14 <FILENAME>nano001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 14 - file: nano001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>15 <FILENAME>ex51001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 15 - file: ex51001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>16 <FILENAME>ex81001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 16 - file: ex81001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>COVER <SEQUENCE>17 <FILENAME>filename17.htm <TEXT> Document 17 - file: filename17.htm
</DOCUMENT> </SEC-DOCUMENT>