-----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, UyFqFkHkScHHJ/DJxOQaDs3ztHuNMoxpx1ymsi2CYGPLAoXezc44kTqhZUR4JhX7 4naOCiRZxBHG2KGq2zH6Mw== 0001209191-06-052034.txt : 20060929 0001209191-06-052034.hdr.sgml : 20060929 20060929165055 ACCESSION NUMBER: 0001209191-06-052034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060927 FILED AS OF DATE: 20060929 DATE AS OF CHANGE: 20060929 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAINES ROBERT W CENTRAL INDEX KEY: 0001185312 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 061117828 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DR CITY: ROMEOVILLE STATE: IL ZIP: 60441 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2006-09-27 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001185312 HAINES ROBERT W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 VP - Operations Common Stock 3000 D Stock Option (right to buy) 10.1875 2002-01-22 2011-01-22 Common Stock 30000 30000 D Stock Option (right to buy) 6.65 2003-01-03 2012-01-03 Common Stock 40000 40000 D Stock Option (right to buy) 3.66 2004-03-24 2013-03-24 Common Stock 30000 30000 D Stock Option (right to buy) 5.55 2005-10-11 2014-10-11 Common Stock 11000 11000 D Stock Option (right to buy) 5.84 2009-07-24 2016-07-24 Common Stock 20000 20000 D Stock Option (right to buy) 6.03 2006-09-27 2015-09-27 Common Stock 10000 10000 D Stock Appreciation Right 6.01 2006-09-27 4 A 0 15000 0.00 A 2007-09-27 2016-09-27 Common Stock 15000 15000 D Subject to certain restrictions, beginning on this date, options vest in five equal installments. Subject to certain restrictions, beginning on this date, options vest in three equal annual installments. Subject to certain restrictions, beginning on this date, these stock appreciation rights vest in three equal annual installments. By Jess Jankowski, under UPA, for Robert W. Haines 2006-09-29 -----END PRIVACY-ENHANCED MESSAGE-----