-----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, DABwRGJzZITbfBiuPpDAIOfdqD5Qcijslc9QqIhYXlefsPURBitB0V9PshCdTy1Z QU9VrONB+FIvw6f1WSGtTg== 0001209191-06-056384.txt : 20061027 0001209191-06-056384.hdr.sgml : 20061027 20061027160754 ACCESSION NUMBER: 0001209191-06-056384 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061026 FILED AS OF DATE: 20061027 DATE AS OF CHANGE: 20061027 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BROTZMAN RICHARD W CENTRAL INDEX KEY: 0001185313 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 061169067 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DR CITY: ROMEOVILLE STATE: IL ZIP: 60441 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 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2006-10-26 0 0000883107 NANOPHASE TECHNOLOGIES CORPORATION NANX 0001185313 BROTZMAN RICHARD W 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 0 1 0 0 VP - Research & Development Common Stock 3000 D Common Stock 2006-10-26 4 M 0 13420 3.8125 A 13420 D Common Stock 2006-10-26 4 S 0 5920 6.72 D 7500 D Common Stock 2006-10-26 4 S 0 2500 6.7329 D 5000 D Common Stock 2006-10-26 4 S 0 2500 6.7347 D 2500 D Common Stock 2006-10-26 4 S 0 2500 6.73 D 0 D Common Stock (right to buy) 3.8125 2006-10-26 4 M 0 13420 3.8125 D 1999-07-31 2008-07-31 Common Stock 40600 27180 D Common Stock (right to buy) 7.6875 2001-05-24 2010-05-24 Common Stock 22500 22500 D Common Stock (right to buy) 10.875 2002-01-26 2011-01-26 Common Stock 20000 20000 D Common Stock (right to buy) 7.0625 2002-02-28 2011-02-28 Common Stock 20000 20000 D Common Stock (right to buy) 6.65 2003-01-03 2012-01-03 Common Stock 20000 20000 D Common Stock (right to buy) 3.66 2004-03-24 2013-03-24 Common Stock 20000 20000 D Common Stock (right to buy) 5.55 2005-10-11 2014-10-11 Common Stock 11000 11000 D Common Stock (right to buy) 6.03 2006-09-27 2015-09-27 Common Stock 10000 10000 D Common Stock (right to buy) 6.01 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. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by Dr. Brotzman on January 3, 2005. By Jess Jankowski, under UPA for Richard W. Brotzman, Jr. 2006-10-27 -----END PRIVACY-ENHANCED MESSAGE-----