PERKINS DONALD S 4

4 · NANOPHASE TECHNOLOGIES CORPORATION · Filed Oct 1, 2009

Form 4

Period: 2009-10-01

Director

Transactions

Award
Stock Appreciation Right
2009-10-01+2,750→ 8,250 total
Exercise: $1.18→ Common Stock (2,750 underlying)

Holdings

Stock Option (right to buy)
Exercise: $9.92From: 2002-06-05Exp: 2011-06-05→ Common Stock (2,000 underlying)
2,000
Stock Option (right to buy)
Exercise: $3.13From: 2009-01-22Exp: 2018-01-22→ Common Stock (15,000 underlying)
15,000
Common Stock
48,811
Deferred Common Stock
→ Common Stock (2,750 underlying)
24,727

Footnotes (6)

[F1]Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.
[F2]Subject to certain restrictions, beginning on this date, options vest in two equal annual installments.
[F3]Each share of deferred common stock represents a right to receive one share of common stock.
[F4]The deferred common stock becomes payable upon the reporting person's termination of service as a director of the Company.
[F5]Pursuant to such plan, the reporting person elected to defer receipt of such shares and receive a cumulative total of 24,727 shares of deferred common stock which will all be accounted for under the Company's Non-Employee Director Deferred Compensation Plan.
[F6]The stock appreciation right becomes payable upon the reporting person's termination of service as a director of the Company. 2,750 were issued 4/8/2009 at a conversion price of $0.90, 2,750 were issued 7/1/2009 at a conversion price of $1.05, and 2,750 were issued 10/1/2009 at a conversion price of $1.18.

Documents

1 file