0001209191-23-031203.txt : 20230519 0001209191-23-031203.hdr.sgml : 20230519 20230519175635 ACCESSION NUMBER: 0001209191-23-031203 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230517 FILED AS OF DATE: 20230519 DATE AS OF CHANGE: 20230519 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHITMORE R JANET CENTRAL INDEX KEY: 0001173970 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22333 FILM NUMBER: 23941782 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NANOPHASE TECHNOLOGIES Corp CENTRAL INDEX KEY: 0000883107 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] 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 X0407 4 2023-05-17 0 0000883107 NANOPHASE TECHNOLOGIES Corp NANX 0001173970 WHITMORE R JANET 1319 MARQUETTE DRIVE ROMEOVILLE IL 60446 1 0 0 0 0 Common Stock 1584563 D Common Stock 2023-05-17 4 P 0 14934 0.847 A 1599497 D Common Stock 2023-05-18 4 P 0 12840 0.97 A 1612337 D Common Stock 2023-05-19 4 P 0 6000 1.05 A 1618337 D Deferred Common Stock Common Stock 20030 20030 D Common Stock (right to purchase) 0.90 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.05 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.18 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 0.84 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.85 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 1.10 2016-11-17 2026-11-17 Common Stock 2000 2000 D Common Stock (right to purchase) 0.99 2016-11-17 2026-11-17 Common Stock 2000 2000 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 2019-05-23 2028-05-23 Common Stock 10000 10000 D Common Stock (right to purchase) 0.45 2021-06-18 2027-06-18 Common Stock 6667 6667 D Common Stock (right to purchase) 4.17 2022-12-28 2028-12-28 Common Stock 20000 20000 D Common Stock (right to purchase) 1.165 2023-12-20 2029-12-20 Common Stock 20000 20000 D 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 20,030 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 at identical exercise prices to the conversion prices of the respective stock appreciation rights. 2,000 were issued with an exercise price of $0.90, 2,000 were issued with an exercise price of $1.05, 2,000 were issued with an exercise price of $1.18, 2,000 were issued with an exercise price of $0.84, 2,000 were issued with an exercise price of $1.85, 2,000 were issued with an exercise price of $1.10, and 2,000 were issued with an exercise price of $0.99. Beginning on this date, subject to certain restrictions, the stock option vests in three equal annual installments. Subject to certain rights and restrictions, beginning on this date, options vest in three equal annual installments. By Jess Jankowski under UPA for R. Janet Whitmore 2023-05-19