-----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, AmZgRGse20rwV3Na8B0jniYNpINPyras/5S2+MebyX7TzG+6h63gWjqBtt7bofDY 3OgkU0PmQtBVLIKvh0WuOw== 0000950172-98-001041.txt : 19981008 0000950172-98-001041.hdr.sgml : 19981008 ACCESSION NUMBER: 0000950172-98-001041 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981007 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 13D/A SEC ACT: SEC FILE NUMBER: 005-52413 FILM NUMBER: 98721825 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 13D/A 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 13D/A 1 SCHEDULE 13D - AMENDMENT #1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ----------------------- SCHEDULE 13D (RULE 13d-101) (AMENDMENT NO. 1) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Nanophase Technologies Corporation (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 630079101 (CUSIP Number) Rachel M. Pernia Vice President and Controller Harris & Harris Group, Inc. One Rockefeller Plaza Suite 1430 New York, New York 10020 (212) 332-3600 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Copy to: Daniel E. Stoller, Esq. Skadden, Arps, Slate, Meagher & Flom LLP 919 Third Avenue New York, New York 10022 (212) 735-3000 October 5, 1998 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box: [x] CUSIP No. 630079101 1. NAME 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) ____ 3. SEC USE ONLY 4. SOURCE OF FUNDS WC 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSU ANT TO ITEMS 2(d) or 2(e) ----- 6. CITIZENSHIP OR PLACE OF ORGANIZATION New York NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7. SOLE VOTING POWER 730,916 shares 8. SHARED VOTING POWER 0 shares 9. SOLE DISPOSITIVE POWER 730,916 shares 10. SHARED DISPOSITIVE POWER 0 shares 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 730,916 shares 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.9 % 14. TYPE OF REPORTING PERSON CO This statement amends and supplements the Schedule 13D relating to the beneficial ownership of common stock, no par value per share, of Nanophase Technologies Corporation, a corporation originally incorporated in Illinois and reincorporated in Delaware (the "Issuer"), filed by Harris & Harris Group, Inc., a New York corporation ("Harris & Harris"). Except as disclosed herein there has been no change in the information previously reported on Schedule 13D. ITEM 4. PURPOSE OF TRANSACTION. Item 4 of this Schedule 13D is hereby amended as follows: Harris & Harris, which previously expressed concerns in this Item 4 regarding the Issuer's senior management, views as a very positive development the fact that Joseph Cross has joined the Issuer as President and Chief Operating Officer and as a member of the Issuer's Board of Directors. Harris & Harris also is pleased that the Issuer's Chief Executive Officer stated in a press release, dated October 5, 1998, that Joseph Cross joined the Issuer as part of the Issuer's succession plan. SIGNATURES After reasonable inquiry and to the best knowledge and belief of the entity set forth below, such entity certifies that the information set forth in this Statement is true, complete, and correct. October 7, 1998 HARRIS & HARRIS GROUP, INC. By: /s/ Rachel M. Pernia --------------------------- Rachel M. Pernia Vice President and Controller -----END PRIVACY-ENHANCED MESSAGE-----