0001209191-18-033337.txt : 20180525 0001209191-18-033337.hdr.sgml : 20180525 20180525104328 ACCESSION NUMBER: 0001209191-18-033337 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140903 FILED AS OF DATE: 20180525 DATE AS OF CHANGE: 20180525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vincent George A CENTRAL INDEX KEY: 0001417929 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 18860071 MAIL ADDRESS: STREET 1: C/O NANOPHASE TECHNOLOGIES STREET 2: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS PRIMARY METAL PRODUCTS [3390] IRS NUMBER: 363687863 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 BUSINESS PHONE: 6303231200 MAIL ADDRESS: STREET 1: 1319 MARQUETTE DRIVE CITY: ROMEOVILLE STATE: IL ZIP: 60446 FORMER COMPANY: FORMER CONFORMED NAME: NANOPHASE TECHNOLOGIES CORPORATION DATE OF NAME CHANGE: 19970305 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-09-03 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001417929 Vincent George A 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 Common Stock 2014-09-03 4 P 0 20618 0.51 A 20618 D Common Stock (right to purchase) 1.36 2012-01-31 2021-01-31 Common Stock 12000 12000 D Deferred Common Stock Common Stock 2250 12652 D Common Stock (right to purchase) 0.30 2013-08-07 2022-08-07 Common Stock 12000 12000 D Common Stock (right to purchase) 0.415 2014-02-14 2023-02-14 Common Stock 10000 10000 D Common Stock (right to purchase) 0.52 2015-02-13 2024-02-13 Common Stock 10000 10000 D Common Stock (right to purchase) 0.44 2016-02-18 2025-02-18 Common Stock 9000 9000 D Common Stock (right to purchase) 0.42 2017-02-23 2026-02-23 Common Stock 8100 8100 D Common Stock (right to purchase) 0.90 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.05 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.18 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 0.84 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.85 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 1.10 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 0.99 2016-11-17 2026-11-17 Common Stock 2250 2250 D Common Stock (right to purchase) 0.68 2018-02-21 2027-02-21 Common Stock 10000 10000 D Common Stock (right to purchase) 0.82 2018-05-23 4 A 0 10000 0.82 A 2019-05-23 2028-05-23 Common Stock 10000 10000 D These shares of common stock were purchased in the open market during an open trading window for Company officers and directors. The Form 4s filed by the reporting person after September 3, 2014 and prior to the date of this Form 4 did not reflect these shares as being owned by the reporting person. Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments. Each share of deferred common stock represents a right to receive one share of common stock. The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company. Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 12,652 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan. The stock appreciation rights payable upon the reporting person's termination of service as a director of the Company were terminated, with stock options issued with exercise prices equal to the conversion prices of the respective stock appreciation rights. 2,250 were issued with an exercise price of $0.90, 2,250 were issued with an exercise price of $1.05, 2,250 were issued with an exercise price of $1.18, 2,250 were issued with an exercise price of $0.84, 2,250 were issued with an exercise price of $1.85, 2,250 were issued with an exercise price of $1.10, and 2,250 were issued with an exercise price of $0.99. By Jess Jankowski under UPA for George A. Vincent 2017-05-25