-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QR8GSGzvTZMltToQv4braN0hafa0hSPbcN4waU/ZGPzs1Nenxb694Nvy8kBk+iLm 3LNgnIiuciUju4JK58MdvA== 0000893739-01-500015.txt : 20010608 0000893739-01-500015.hdr.sgml : 20010608 ACCESSION NUMBER: 0000893739-01-500015 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010607 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52413 FILM NUMBER: 1655806 BUSINESS ADDRESS: STREET 1: 453 COMMERCE ST CITY: BURR RIDGE STATE: IL ZIP: 60521 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 453 COMMERCE STREET CITY: BURR RIDGE STATE: IL ZIP: 60521 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HARRIS & HARRIS GROUP INC /NY/ CENTRAL INDEX KEY: 0000893739 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133119827 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE ROCKEFELLER PLAZA STREET 2: ROCKEFELLER CTR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2123074380 MAIL ADDRESS: STREET 1: ONE ROCKEFELLER PLAZA STREET 2: ROCKEFELLER CENTER CITY: NEW YORK STATE: NY ZIP: 10020 SC 13G 1 june13g.txt 13G FOR NANOPHASE TECHNOLOGIES CORPORATION SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) UNDER THE SECURITIES EXCHANGE ACT OF 1934 NANOPHASE TECHNOLOGIES CORPORATION ________________________________________________________________ (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE ________________________________________________________________ (Title of Class and Securities) 630079101 ________________________________________________________________ (CUSIP Number) JUNE 6, 2001 ________________________________________________________________ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ( ) Rule 13d-1(b) ( x ) Rule 13d-1(c) ( ) Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13G _________________________________________________________________ (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Harris & Harris Group, Inc. 13-3119827 _________________________________________________________________ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) ( ) (b) (X) _________________________________________________________________ (3) SEC USE ONLY _________________________________________________________________ (4) CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK _________________________________________________________________ (5) SOLE VOTING POWER NUMBER OF SHARES __705,916_________________ BENEFICIALLY (6) SHARED VOTING POWER OWNED BY EACH _0_______________________ REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH __705,916__________________ (8) SHARED DISPOSITIVE POWER __0________________________ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 705,916 _________________________________________________________________ (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (See Instructions) [ ] _________________________________________________________________ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.18% _________________________________________________________________ (12) TYPE OF REPORTING PERSON (See Instructions) CO _________________________________________________________________ SCHEDULE 13G _________________________________________________________________ (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Mel P. Melsheimer _________________________________________________________________ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (a) ( ) (b) (X) _________________________________________________________________ (3) SEC USE ONLY _________________________________________________________________ (4) CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES _________________________________________________________________ (5) SOLE VOTING POWER NUMBER OF SHARES __25,000____________________ BENEFICIALLY (6) SHARED VOTING POWER OWNED BY EACH __0_________________________ REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH __25,000____________________ (8) SHARED DISPOSITIVE POWER __0_________________________ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 25,000 _________________________________________________________________ (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (See Instructions) [ ] _________________________________________________________________ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.18% _________________________________________________________________ (12) TYPE OF REPORTING PERSON (See Instructions) IN _________________________________________________________________ Item 1(a). Name of Issuer: Nanophase Technologies Corporation (the "Company") Item 1(b). Address of Issuer's Principal Executive Offices: 1319 Marquette Drive Romeoville, Illinois 60446 Item 2(a). Name of Persons Filing: This Schedule 13G is being jointly filed by Harris & Harris Group, Inc. ("Harris & Harris") and Mel P. Melsheimer, President, Chief Operating Officer and Chief Financial Officer of Harris & Harris (collectively, the "Reporting Persons"), with respect to shares of common stock, par value $.01 per share (the "Common Stock"), of the Company. Item 2(b). Address of Principal Business Office: The principal business address of each of the Reporting Persons is: One Rockefeller Plaza Suite 1430 New York, New York 10020 Item 2(c). Citizenship: Harris & Harris is a venture capital investment company, incorporated in the state of New York, and operating as a Business Development Company under the Investment Company Act of 1940. Mr. Melsheimer is a citizen of the United States. Item 2(d). Title of Class of Securities: Common Stock, par value $.01 per share. Item 2(e). CUSIP Number: 630079101 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check whether the person filing is a: Not Applicable. This Schedule 13G is filed pursuant to Rule 13d-1(c). Item 4. Ownership: Information concerning the number and percentage of shares of the Company Common Stock beneficially owned by each Reporting Person, and the number of such shares as to which each Reporting Person has sole or shared voting power and sole or shared dispositive power is set forth on pages 2 and 3 of this Schedule 13G. Item 5. Ownership of Five Percent or Less of Class: Not Applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: Not Applicable. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not Applicable. Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: June 7, 2001 Harris & Harris Group, Inc. By:/s/ Mel P. Melsheimer Mel P. Melsheimer President, Chief Operating Officer and Chief Financial Officer By:/s/ Mel P. Melsheimer Mel P. Melsheimer -----END PRIVACY-ENHANCED MESSAGE-----