-----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, BaMj3bXcN5MSLhIId33UzaH7XVOc+kgMaG7t1ThYMxR/t4BK/aeR1p8n4o1BlAn8 V8JDPdKJle3qi+0TMP+hwQ== 0000933430-99-000001.txt : 19990212 0000933430-99-000001.hdr.sgml : 19990212 ACCESSION NUMBER: 0000933430-99-000001 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990211 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/A SEC ACT: SEC FILE NUMBER: 005-52413 FILM NUMBER: 99530070 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: WHITMORE BRADFORD T CENTRAL INDEX KEY: 0000933430 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1560 SHEKMAN AVE STREET 2: SUITE 900 CITY: EVANSTON STATE: IL ZIP: 60201 BUSINESS PHONE: 8477331230 MAIL ADDRESS: STREET 1: 1560 SHEKMAN AVE STREET 2: SUITE 900 CITY: EVANSTON STATE: IL ZIP: 60201 SC 13G/A 1 1 OMD APPROVAL OMD Number: 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response...14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amedment No. 1) Nanophase Technologies Corporation - ----------------------------------------- (Name of Issuer) Common Stock - ----------------------------------------- (Title of Class Securities) 630079101 - ----------------------------------------- (CUSIP Number) 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 disclosures provided in a prior cover page. The information required on 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). Page 1 of 5 Pages 2 CUSIP NO. 630079101 13G/A 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bradford T. Whitmore 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)/X / (b)/ / 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER NUMBER OF NONE SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 1,871,343 SHARES EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON NONE WITH 8 SHARED DISPOSITIVE POWER 1,871,343 SHARES 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,871,343 SHARES 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/ / 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.9% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 Pages 3 Page 3 of 5 Pages Item 1. (a) Name of Issuer Nanophase Technologies Corporation (b) Address of Issuer's Principal Executive Offices 453 Commerce St., Burr Ridge, IL 60521 Item 2. (a) Name of Person Filing Bradford T. Whitmore (b) Address of Principal Business Office or, if none, Residence 1560 Sherman Avenue, Suite 900 Evanston, IL 60201 (c) Citizenship United States (d) Title of Class of Securities Common Stock (e) Cusip Number 630079101 Item 3. Not Applicable Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned 1,871,343 shares (b) Percent of Class 14.9% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote None (ii) shared power to vote or to direct the vote 1,871,343 shares (iii) sole power to dispose or to direct the vote None (iv) shared power to dispose or to direct the disposition of 1,971,343 shares Item 5. Ownership of Five Percent or Less of a Class Not Applicable Page 4 of 5 Pages Item 6. Ownership of More than Five Percent on Behalf of Another Person. None Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Reporting person is not a parent holding company. Item 8. Identification and Classification of Member of the Group Bradford T. Whitmore is reporting this ownership as a member of a group with Spurgeon Corporation. Bradford T. Whitmore and Spurgeon Corporation are both general partners of Grace Brothers, Ltd. which owns 801,593 shares and Spurgeon and an entity wholly owned by Whitmore are both general partners of Grace Investments, Ltd. which owns 1,069,750 shares. Item 9. Notice of Dissolution of Group Reporting person is not filing notice of dissolution of a group. Item 10. Certification (b) The following certification shall be included if the statement is filed pursuant to Section 240.13d-1(c): 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. Dated: February 11, 1999 Bradford T. Whitmore By:/s/ Bradford T. Whitmore ------------------------ Bradford T. Whitmore General Partner Grace Brothers, Ltd. -----END PRIVACY-ENHANCED MESSAGE-----