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Filing Details

Accession Number:: 0001209191-18-033697
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2018-05-29 11:04:57
Reporting Period:: 2014-09-03

Accepted Time:: 2018-05-29 11:04:57
Original Submission Date:: 2018-05-25
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
883107	Nanophase Technologies Corp	NANX	Miscellaneous Primary Metal Products (3390)	363687863

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1417929	A George Vincent	1319 Marquette Drive Romeoville IL 60446		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-09-03	20,618	$0.51	20,618	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Common Stock (right to purchase)	Acquisiton	2018-05-23	10,000	$0.82	10,000	$0.82

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
10,000	2019-05-23	2028-05-23	No	4	A	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Common Stock (right to purchase)	$1.36	2012-01-31	2021-01-31	12,000	12,000	Direct
Common Stock	Deferred Common Stock	$0.00			2,250	12,652	Direct
Common Stock	Common Stock (right to purchase)	$0.30	2013-08-07	2022-08-07	12,000	12,000	Direct
Common Stock	Common Stock (right to purchase)	$0.42	2014-02-14	2023-02-14	10,000	10,000	Direct
Common Stock	Common Stock (right to purchase)	$0.52	2015-02-13	2024-02-13	10,000	10,000	Direct
Common Stock	Common Stock (right to purchase)	$0.44	2016-02-18	2025-02-18	9,000	9,000	Direct
Common Stock	Common Stock (right to purchase)	$0.42	2017-02-23	2026-02-23	8,100	8,100	Direct
Common Stock	Common Stock (right to purchase)	$0.90	2016-11-17	2026-11-17	2,250	2,250	Direct
Common Stock	Common Stock (right to purchase)	$1.05	2016-11-17	2026-11-17	2,250	2,250	Direct
Common Stock	Common Stock (right to purchase)	$1.18	2016-11-17	2026-11-17	2,250	2,250	Direct
Common Stock	Common Stock (right to purchase)	$0.84	2016-11-17	2026-11-17	2,250	2,250	Direct
Common Stock	Common Stock (right to purchase)	$1.85	2016-11-17	2026-11-17	2,250	2,250	Direct
Common Stock	Common Stock (right to purchase)	$1.10	2016-11-17	2026-11-17	2,250	2,250	Direct
Common Stock	Common Stock (right to purchase)	$0.99	2016-11-17	2026-11-17	2,250	2,250	Direct
Common Stock	Common Stock (right to purchase)	$0.68	2018-02-21	2027-02-21	10,000	10,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-01-31	12,000	12,000	Direct
	2,250	12,652	Direct
2022-08-07	12,000	12,000	Direct
2023-02-14	10,000	10,000	Direct
2024-02-13	10,000	10,000	Direct
2025-02-18	9,000	9,000	Direct
2026-02-23	8,100	8,100	Direct
2026-11-17	2,250	2,250	Direct
2026-11-17	2,250	2,250	Direct
2026-11-17	2,250	2,250	Direct
2026-11-17	2,250	2,250	Direct
2026-11-17	2,250	2,250	Direct
2026-11-17	2,250	2,250	Direct
2026-11-17	2,250	2,250	Direct
2027-02-21	10,000	10,000	Direct

Footnotes

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.