-----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, DeKiNyBTI3VW/qtCYAzs6OeOvv/DubKcuuQTIPvx21bjrdl5q8qxAz1/Ds+Ud3Kq OVCJH8JoyeBZBuObeGxiog== 0000950137-98-000420.txt : 19980217 0000950137-98-000420.hdr.sgml : 19980217 ACCESSION NUMBER: 0000950137-98-000420 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD 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: 98533819 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: SHAW ROBERT W JR CENTRAL INDEX KEY: 0001054116 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 6110 EXECUTIVE BOULEVARD STREET 2: SUITE 1040 CITY: ROCKVILLE STATE: MD ZIP: 20852 BUSINESS PHONE: 3018812555 MAIL ADDRESS: STREET 1: 6110 EXECUTIVE BOULEVARD STREET 2: SUITE 1040 CITY: ROCKVILLE STATE: MD ZIP: 20852 SC 13G 1 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (AMENDMENT NO. __)* NANOPHASE TECHNOLOGIES CORPORATION - ------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, par value $.01 per share - ------------------------------------------------------------------------------- (Title of Class of Securities) 630079 10 1 --------------------------------------------------- (CUSIP Number) ----------------------- *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 6 2 SCHEDULE 13G - -------------------------- -------------------- CUSIP No. 630079 10 1 Page 2 of 6 Pages - -------------------------- -------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ROBERT W. SHAW, JR. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 901,684 ------------------------------------------------------ 6. SHARED VOTING POWER -0- NUMBER OF SHARES BENEFICIALLY ------------------------------------------------------ OWNED BY 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- PERSON WITH ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 901,684 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 - -------------------------- -------------------- CUSIP No. 630079 10 1 Page 3 of 6 Pages - -------------------------- -------------------- ITEM 1(a) NAME OF ISSUER: Nanophase Technologies Corporation ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 453 Commerce Street Burr Ridge, Illinois 60521 ITEM 2(a) NAME OF PERSON FILING: Robert W. Shaw, Jr. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OF, IF NONE, RESIDENCE: Robert W. Shaw, Jr. c/o Arete Ventures, Inc. 6110 Executive Boulevard Suite 1040 Rockville, Maryland 20852 ITEM 2(c) CITIZENSHIP: U.S.A. ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share ITEM 2(e) CUSIP NUMBER: 630079 10 1 ITEM 3. TYPE OF PERSON: Not Applicable. 4 - -------------------------- -------------------- CUSIP No. 630079 10 1 Page 4 of 6 Pages - -------------------------- -------------------- ITEM 4. OWNERSHIP: (a) AMOUNT BENEFICIALLY OWNED: -0-(1) (b) PERCENT OF CLASS: 0.0%(1) (c) NUMBER OF SHARES AS TO WHICH PERSON HAS: (i) sole power to vote or to direct the vote: 901,684(1) (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 901,684(1) ________________ (1) Dr. Shaw serves as the managing general partner of (i) Arete Ventures Investors II Limited Partnership, which is the managing general partner of UVCC Fund II ("UVCC II") and (ii) Arete Ventures Limited Partnership III, which is the managing general partner of UVCC II Parallel Fund, L.P. ("UVCC Parallel"). In such capacities, he has sole voting power and shares investment power with respect to (i) the 384,034 shares of Common Stock and 66,808 shares of Common Stock issuable upon exercise of warrants presently exercisable, all of which are held by UVCC II, and (ii) the 384,034 shares of Common Stock and 66,808 shares of Common Stock issuable upon exercise of warrants presently exercisable, all of which are held by UVCC Parallel. Dr. Shaw, therefore, may be deemed to be the beneficial owner of the shares of Common Stock directly owned by UVCC II and UVCC Parallel, which would equal 7.3% of the Common Stock outstanding as of December 31, 1997. Dr. Shaw disclaims this beneficial ownership. 5 - ------------------------ ------------------ CUSIP No. 630079 10 1 Page 5 of 6 Pages - ------------------------ ------------------ ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A 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. CERTIFICATION: Not Applicable. 6 - ------------------------ ------------------ CUSIP No. 630079 10 1 Page 6 of 6 Pages - ------------------------ ------------------ 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: February 12, 1998 /s/ ROBERT W. SHAW, JR. -------------------------------- Robert W. Shaw, Jr. -----END PRIVACY-ENHANCED MESSAGE-----