<SEC-DOCUMENT>0001387131-16-008205.txt : 20161128
<SEC-HEADER>0001387131-16-008205.hdr.sgml : 20161128
<ACCEPTANCE-DATETIME>20161128161728
ACCESSION NUMBER:		0001387131-16-008205
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20161128
ITEM INFORMATION:		Entry into a Material Definitive Agreement
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20161128
DATE AS OF CHANGE:		20161128

FILER:

	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

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-22333
		FILM NUMBER:		162020111

	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
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>nanx-8k_112816.htm
<DESCRIPTION>CURRENT REPORT
<TEXT>
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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0; text-align: center">UNITED STATES</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0; text-align: center">SECURITIES AND EXCHANGE COMMISSION</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center">Washington, D.C. 20549</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center"><B>FORM 8-K<BR>
CURRENT REPORT</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0; text-align: center">Pursuant to Section 13 or 15(d) of the</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center">Securities Exchange Act of 1934</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center">Date of Report (Date of earliest event
reported): November 28, 2016 (November 21, 2016)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0; text-align: center"><B>NANOPHASE TECHNOLOGIES CORPORATION</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center">(Exact name of registrant as specified
in its charter)</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
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    <TD STYLE="width: 32%; text-align: center"><FONT STYLE="font-size: 10pt"><B>Delaware</B></FONT></TD>
    <TD STYLE="width: 2%; padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="width: 32%; text-align: center"><FONT STYLE="font-size: 10pt"><B>0-22333</B></FONT></TD>
    <TD STYLE="width: 2%; padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="width: 32%; text-align: center"><FONT STYLE="font-size: 10pt"><B>36-3687863</B></FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-align: center"><FONT STYLE="font-size: 10pt">(State or other</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="text-align: center"><FONT STYLE="font-size: 10pt">(Commission</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="text-align: center"><FONT STYLE="font-size: 10pt">(IRS Employer</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-align: center"><FONT STYLE="font-size: 10pt">jurisdiction of</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="text-align: center"><FONT STYLE="font-size: 10pt">File Number)</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="text-align: center"><FONT STYLE="font-size: 10pt">Identification No.)</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="text-align: center"><FONT STYLE="font-size: 10pt">incorporation)</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="text-align: center">&nbsp;</TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; text-align: center">&nbsp;</TD>
    <TD STYLE="text-align: center">&nbsp;</TD></TR>
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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 8pt 0 0; text-align: center"><B>1319 Marquette Drive, Romeoville, Illinois
60446</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center">(Address of principal executive offices)
(Zip Code)</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center">Registrant&#8217;s telephone number, including
area code: <B>(630) 771-6700</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0; text-align: center"><B>Not applicable</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center">(Former name or former address, if changed
since last report)</P>

<P STYLE="font: 10pt/13pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: justify; text-indent: 0.25in">Check the appropriate
box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions (<I>see </I>General Instruction A.2. below):</P>

<P STYLE="font: 10pt/13pt Times New Roman, Times, Serif; margin: 0 0 12pt; text-align: justify; text-indent: 0.25in"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</FONT></P>

<P STYLE="font: 10pt/13pt Times New Roman, Times, Serif; margin: 0 0 8pt 0.25in; text-align: justify"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</FONT></P>

<P STYLE="font: 10pt/13pt Times New Roman, Times, Serif; margin: 0 0 12pt; text-align: justify; text-indent: 0.25in"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</FONT></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt 0.25in"><FONT STYLE="font-family: Times New Roman, Times, Serif">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</FONT></P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 -11pt"><B>Item 1.01 </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt; padding-left: 1in"><B>Entry into a Material Definitive Agreement</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt; text-indent: 0.5in">On November 21, 2016, Nanophase Technologies
Corporation (the &#8220;Company&#8221;) and Roche Diagnostics GmbH (&#8220;Roche&#8221;) entered into the Second Amendment (the
&#8220;Second Amendment&#8221;) to the Supply Agreement of March 3, 2006, as previously amended by the First Amendment dated November
19, 2014, between the Company and Roche (as previously amended, the &#8220;Supply Agreement&#8221;). The Second Amendment, which
is effective as of December&nbsp;1, 2016, sets forth the price per kilogram that will be payable by Roche and/or its affiliates
to the Company for the Company&#8217;s products, based on a non-binding forecasted volume of products to be purchased by Roche
in a given calendar year. The Second Amendment also (i) revises the definition of the term &#8220;Affiliates,&#8221; (ii) addresses
the parties&#8217; agreements, responsibilities, obligations, cost allocation and liability with respect to foreign trade control
and customs matters and (iii) adds a section regarding the Company&#8217;s compliance with those laws and regulations related to
safety, health and environmental matters that are applicable to the manufacture of the Company&#8217;s products at its manufacturing
site, its respect of human rights, and its compliance, and its suppliers&#8217; compliance, with the Roche Supplier Code of Conduct,
which section provides Roche with the right to terminate the Supply Agreement at any time by written notice to the Company in the
case of non-compliance.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt; text-indent: 0.5in">All other terms and conditions in the
Supply Agreement as in effect immediately prior to the Second Amendment remain in full force and effect thereafter. The foregoing
description of the Second Amendment does not purport to be complete and is qualified in its entirety by reference to the text of
the Second Amendment, which is filed, with confidential portions redacted, as Exhibit 10.1 hereto and is incorporated herein by
reference.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 -11pt"><B>Item 9.01. </B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt; padding-left: 1in"><B>Financial Statements and Exhibits.</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 -11pt">(d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-indent: 0.5in">Exhibits:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-indent: 0.5in">The following item is filed as an exhibit
to this Current Report on Form 8-K:</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="width: 90%; font: 10pt Times New Roman, Times, Serif; border-collapse: collapse; margin-left: 0.5in">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 16%; text-decoration: underline"><FONT STYLE="font-size: 10pt"><U>Exhibit No.</U></FONT></TD>
    <TD STYLE="width: 84%; text-decoration: underline"><FONT STYLE="font-size: 10pt"><U>Exhibit</U></FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD><FONT STYLE="font-size: 10pt">&nbsp;</FONT></TD>
    <TD><FONT STYLE="font-size: 10pt">&nbsp;</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD><FONT STYLE="font-size: 10pt">10.1*</FONT></TD>
    <TD><FONT STYLE="font-size: 10pt">Second Amendment to the Supply Agreement, entered into on November 21, 2016, between the Company and Roche Diagnostics GmbH</FONT></TD></TR>
</TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 4pt 0.75in; text-indent: 0in">__________</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 0 0.75in; text-indent: 0in">* Confidential treatment has been
requested with respect to certain portions of this exhibit. Omitted portions have been filed separately with the Securities and
Exchange Commission.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 0 0.75in; text-indent: -0.25in">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center"><B>SIGNATURES</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-indent: 1in">Pursuant to the requirements of the Securities
Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt">Dated:&nbsp;&nbsp;November 28, 2016</P>

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    <TD STYLE="font: 10pt Times New Roman, Times, Serif">&nbsp;</TD>
    <TD COLSPAN="2" NOWRAP STYLE="font: 10pt Times New Roman, Times, Serif"><FONT STYLE="font-family: Times New Roman, Times, Serif">NANOPHASE TECHNOLOGIES CORPORATION</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 54%; font: 10pt Times New Roman, Times, Serif">&nbsp;</TD>
    <TD STYLE="width: 7%; font: 10pt Times New Roman, Times, Serif">&nbsp;</TD>
    <TD STYLE="width: 39%; font: 10pt Times New Roman, Times, Serif">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font: 10pt Times New Roman, Times, Serif">&nbsp;</TD>
    <TD STYLE="font: 10pt Times New Roman, Times, Serif; text-decoration: none"><FONT STYLE="font-family: Times New Roman, Times, Serif">By:</FONT></TD>
    <TD STYLE="border-bottom: Black 1pt solid; font: 10pt Times New Roman, Times, Serif"><FONT STYLE="font-family: Times New Roman, Times, Serif">/s/&nbsp;&nbsp;Frank Cesario</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font: 10pt Times New Roman, Times, Serif">&nbsp;</TD>
    <TD STYLE="font: 10pt Times New Roman, Times, Serif"><FONT STYLE="font-family: Times New Roman, Times, Serif">Name:</FONT></TD>
    <TD STYLE="font: 10pt Times New Roman, Times, Serif; text-decoration: none"><FONT STYLE="font-family: Times New Roman, Times, Serif">Frank Cesario</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font: 10pt Times New Roman, Times, Serif">&nbsp;</TD>
    <TD STYLE="font: 10pt Times New Roman, Times, Serif"><FONT STYLE="font-family: Times New Roman, Times, Serif">Title:</FONT></TD>
    <TD STYLE="font: 10pt Times New Roman, Times, Serif"><FONT STYLE="font-family: Times New Roman, Times, Serif">Chief Financial Officer</FONT></TD></TR>
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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt"><B>&nbsp;</B></P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt; text-align: center"><B><U>EXHIBIT INDEX</U></B></P>

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    <TD STYLE="width: 17%; text-decoration: underline"><FONT STYLE="font-size: 10pt"><U>Exhibit No.</U></FONT></TD>
    <TD STYLE="width: 83%; text-decoration: underline"><FONT STYLE="font-size: 10pt"><U>Exhibit</U></FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD><FONT STYLE="font-size: 10pt">&nbsp;</FONT></TD>
    <TD><FONT STYLE="font-size: 10pt">&nbsp;</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD><FONT STYLE="font-size: 10pt">10.1*</FONT></TD>
    <TD><FONT STYLE="font-size: 10pt"><A HREF="ex10-1.htm">Second Amendment to the Supply Agreement, entered into on November 28, 2016, between the Company and Roche Diagnostics GmbH</A></FONT></TD></TR>
</TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 4pt 0.75in; text-indent: 0in">__________</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt 0.75in; text-indent: 0in">* Confidential treatment has been
requested with respect to certain portions of this exhibit. Omitted portions have been filed separately with the Securities and
Exchange Commission.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt; text-align: center"><B></B></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 12pt; text-align: center"><B>&nbsp;</B></P>


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<DOCUMENT>
<TYPE>EX-10.1
<SEQUENCE>2
<FILENAME>ex10-1.htm
<DESCRIPTION>SECOND AMENDMENT TO THE SUPPLY AGREEMENT
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<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: left; color: #1F1F1F"><A HREF="nanx-8k_112816.htm">Nanophase Technologies Corporation 8-K</A></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: right; color: #1F1F1F"><B>EXHIBIT 10.1</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt">Portions of this Exhibit have been redacted pursuant to a
request for confidential treatment under Rule 24b-2 of the General Rules and Regulations under the Securities Exchange Act of 1934.
Omitted information, marked &ldquo;[*]&rdquo; in this Exhibit, has been filed separately with the Securities and Exchange Commission
together with such request for confidential treatment.</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 24pt; text-align: center; color: #1F1F1F">SECOND AMENDMENT</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 24pt; text-align: center; color: #1F1F1F">to the <B>Supply
Agreement </B>of <B>March 3, 2006</B></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 16pt; text-align: center; color: #1F1F1F">between</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center; color: #1F1F1F"><B>Roche Diagnostics
GmbH</B><BR>
Sandhofer StraBe 115<BR>
68305 Mannheim<BR>
Germany</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 16pt; text-align: center; color: #1F1F1F">(&ldquo;<B>ROCHE</B>&rdquo;)</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 16pt; text-align: center; color: #1F1F1F">and</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center"><FONT STYLE="color: #1F1F1F"><B>Nanophase
Technologies Corporation</B></FONT><BR>
<FONT STYLE="color: #1F1F1F">1319 Marquette Drive</FONT><BR>
<FONT STYLE="color: #1F1F1F">Romeoville</FONT><FONT STYLE="color: #3A3A3A">, IL</FONT> <FONT STYLE="color: #1F1F1F">60446</FONT><BR>
<FONT STYLE="color: #1F1F1F">USA</FONT></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center; color: #1F1F1F">(&ldquo;<B>Supplier</B>&rdquo;)</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt">Portions of this Exhibit have been redacted pursuant to a
request for confidential treatment under Rule 24b-2 of the General Rules and Regulations under the Securities Exchange Act of 1934.
Omitted information, marked &ldquo;[*]&rdquo; in this Exhibit, has been filed separately with the Securities and Exchange Commission
together with such request for confidential treatment.</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 5.85pt; color: #2B2B2B"><B>WHEREAS,</B></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/124% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 8pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 5.85pt"></TD><TD STYLE="width: 34.9pt"><FONT STYLE="color: #2B2B2B">(1)</FONT></TD><TD STYLE="text-align: justify; padding-right: 8.65pt"><FONT STYLE="color: #2B2B2B">ROCHE and Supplier have entered into a Supply
Agreement effective </FONT><FONT STYLE="color: #3D3D3D">as </FONT><FONT STYLE="color: #2B2B2B">of March&nbsp;3,&nbsp;2006 and a
First Amendment to the Agreement effective as of November&nbsp;19, 2014 (&ldquo;<B>Agreement</B>&rdquo;); and</FONT></TD></TR></TABLE>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 5.85pt; color: #2B2B2B">(2)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B">the
stipulations regarding the Prices shall be adjusted; and</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/126% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 8pt; color: #2B2B2B"><TR STYLE="vertical-align: top">
<TD STYLE="width: 5.85pt"></TD><TD STYLE="width: 35.85pt">(3)</TD><TD STYLE="text-align: justify; padding-right: 8.4pt">the Agreement shall be supplement by new sections about foreign trade and
compliance, sustainability; and</TD></TR></TABLE>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 5.85pt; color: #2B2B2B">(4)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B">the
parties have therefore agreed to amend the Agreement as set out below.</P>

<P STYLE="font: 10pt/122% Times New Roman, Times, Serif; margin: 0 9.05pt 8pt 5.65pt; color: #2B2B2B"><B>NOW, THEREFORE, </B>in
consideration of the mutual covenants and obligations contained herein and intending to be legally bound hereby, the parties agree
as follows:</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 6.1pt; color: #2B2B2B"><B>1. &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</B></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B"><B>AMENDMENT</B></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/124% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 8pt; color: #2B2B2B"><TR STYLE="vertical-align: top">
<TD STYLE="width: 6.85pt"></TD><TD STYLE="width: 33.15pt">1.1</TD><TD STYLE="text-align: justify; padding-right: 4.4pt">The definition of &ldquo;Affiliates&rdquo; as stipulated in Section 1 of
the Agreement is hereby replaced to read as follows:</TD></TR></TABLE>

<P STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin: 0 2.25pt 8pt 40.5pt; text-align: justify; text-indent: 0.7pt; color: #2B2B2B"><I>&ldquo;&ldquo;Affiliates&rdquo;
means (a) an organization, which directly or indirectly controls a Party; (b) an organization, which is directly or indirectly
controlled by a Party; (c) an organization, which is controlled, directly or indirectly, by the ultimate parent company of a Party.</I></P>

<P STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin: 0 3.85pt 8pt 40.5pt; text-align: justify; text-indent: 0.5pt; color: #2B2B2B"><I>Control
as per a) to c) is defined as owning more than fifty percent of the voting stock of a company or having otherwise the power to
govern the financial and the operating policies or to appoint the management of an organization. For the purpose of this Agreement,
Chugai Pharmaceutical Co., Ltd, 1-1, Nihonbashi-Muromachi 2-chome, Chuo-ku, Tokyo, 103-8324, Japan (&ldquo;<B>Chugai</B>&rdquo;)
and Foundation Medicine, Inc., 150 Second Street, Cambridge, MA 02141, USA (&ldquo;<B>FMI</B>&rdquo;), shall not be deemed an Affiliate
of ROCHE, unless ROCHE opts for an inclusion of Chugai and/or FMI by giving written notice to the other Party.&rdquo;</I></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 6.6pt; color: #2B2B2B">1.2 &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B">Section
2.4 of the Agreement is hereby replaced to read as follows:</P>

<P STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin: 0 2.65pt 8pt 40.05pt; text-align: justify; text-indent: 0.95pt; color: #2B2B2B"><I>&ldquo;The
parties agree that all Products, including software and technology, delivered under this Agreement may be subject to foreign trade
controls. Supplier shall strictly comply with all applicable national and U. S. laws and regulations for the control of import,
export/ re-export, transfer, brokering and transit. Prior to any transfer of Products, Supplier shall in particular guarantee that
all necessary import and/or export licenses are obtained as may be required throughout the duration of this Agreement.</I></P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt">Portions of this Exhibit have been redacted pursuant to a
request for confidential treatment under Rule 24b-2 of the General Rules and Regulations under the Securities Exchange Act of 1934.
Omitted information, marked &ldquo;[*]&rdquo; in this Exhibit, has been filed separately with the Securities and Exchange Commission
together with such request for confidential treatment.</P>

<P STYLE="font: 10pt/124% Times New Roman, Times, Serif; margin: 0 3pt 8pt 41.55pt; text-align: justify; text-indent: 0.25pt"><FONT STYLE="color: #2D2D2D"><I>In
any case, Supplier shall inform ROCHE about the respective number of the Products according to the EU Dual-Use Regulation, the
Commerce Control List (CCL) of the U.</I></FONT>&nbsp;<FONT STYLE="color: #2D2D2D"><I>S. Department of Commerce and/ or the U.
S. Munitions List (USML) of the U. S. Department of State. Additionally, Supplier shall provide technical specifications of the
Products to enable ROCHE to classify the Products according to the relevant foreign trade control and customs regulations.</I></FONT></P>

<P STYLE="font: 10pt/125% Times New Roman, Times, Serif; margin: 0 3.1pt 8pt 41.05pt; text-align: justify; text-indent: 0.5pt"><FONT STYLE="color: #2D2D2D"><I>Supplier
shall be obliged to declare the origin of goods under customs law pursuant to the export and customs regulations applicable in
each case</I></FONT><I><FONT STYLE="color: #545454">, </FONT><FONT STYLE="color: #2D2D2D">e. g. on the invoice, by means of a certificate
of origin or a long-term declaration (IHK). Supplier shall promptly notify ROCHE unrequested in writing of any </FONT><FONT STYLE="color: #414141">change
</FONT><FONT STYLE="color: #2D2D2D">of origin. Where the Products fall within the scope of a convention for the granting of tariff
preferences, Supplier shall be obliged to issue a written declaration pursuant to the relevant free trade agreement, e. g. a long-term
supplier declaration or, in individual cases, a declaration of origin on the invoice.</FONT></I></P>

<P STYLE="font: 10pt/124% Times New Roman, Times, Serif; margin: 0 3.7pt 8pt 40.1pt; text-align: justify; text-indent: 0.7pt; color: #2D2D2D"><I>In
the event that for the import or export of goods additional official documents are required for the designated use of the Products,
Supplier shall be obliged to promptly procure or, respectively, to provide these documents to ROCHE. ROCHE shall inform Supplier
of the applicable requirements.</I></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 3.85pt 8pt 40.1pt; text-align: justify; color: #2D2D2D"><I>Any
costs incurred from the obligations in this Section &ldquo;Foreign Trade&rdquo; shall be borne by Supplier.</I></P>

<P STYLE="font: 10pt/125% Times New Roman, Times, Serif; margin: 0 4.45pt 8pt 41.05pt; text-align: justify; text-indent: -0.5pt; color: #2D2D2D"><I>Supplier
declarations of all kind and specifications for a classification of the Products are to be sent to the following address:</I></P>

<P STYLE="font: 10pt/122% Times New Roman, Times, Serif; margin: 0 0 8pt 40.3pt; color: #2D2D2D"><I>Roche Diagnostics GmbH<BR>
Import Service DFPI 6164<BR>
Sandhofer Str. 116<BR>
68305 Mannheim<BR>
Germany</I></P>

<P STYLE="font: 10pt/125% Times New Roman, Times, Serif; margin: 0 2.7pt 8pt 40.1pt; text-align: justify; text-indent: 0.5pt; color: #2D2D2D"><I>Supplier
shall be liable for any damage and/or expenses (in particular punitive tariffs, legal costs, etc.), which ROCHE incurs from incomplete
and/or inaccurate information in connection with the obligations of Supplier under this Section 2.4 and shall fully indemnify ROCHE
of such damage/expenses.&rdquo;</I></P> <!-- Field: Page; Sequence: 3 -->
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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt">Portions of this Exhibit have been redacted pursuant to a
request for confidential treatment under Rule 24b-2 of the General Rules and Regulations under the Securities Exchange Act of 1934.
Omitted information, marked &ldquo;[*]&rdquo; in this Exhibit, has been filed separately with the Securities and Exchange Commission
together with such request for confidential treatment.</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 5.85pt; color: #2D2D2D">1.3 &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B">Section
5.1 of the Agreement is hereby replaced to read as follows:</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 6.7pt 8pt 40.8pt; text-align: justify; color: #2D2D2D"><I>&ldquo;The
price payable by ROCHE and/or its Affiliates to Supplier for the Products (including costs of packaging) depends on the non-binding
forecasted volume of Products:</I></P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 11pt Calibri, Helvetica, Sans-Serif; width: 100%; border-collapse: collapse">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 18%; border: black 1pt solid; padding: 8pt; text-indent: 0; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D; line-height: 122%"><B><I>Non-binding forecast</I></B></FONT></TD>
    <TD STYLE="width: 12%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>&lt;[*]kg</I></FONT></TD>
    <TD STYLE="width: 12%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; text-align: center; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>[*]-</I></FONT><BR>
<FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>[*] kg</I></FONT></TD>
    <TD STYLE="width: 17%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>[*]kg-</I></FONT><BR>
<FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>[*]kg</I></FONT></TD>
    <TD STYLE="width: 24%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>[*]kg-[*]kg</I></FONT></TD>
    <TD STYLE="width: 17%; border-top: black 1pt solid; border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D">&gt; <I>[*]kg</I></FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; border-left: black 1pt solid; padding: 8pt; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><B><I>Price per kg</I></B></FONT></TD>
    <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>USD [*]</I></FONT></TD>
    <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>USD [*]</I></FONT></TD>
    <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>USD [*]</I></FONT></TD>
    <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>USD [*]</I></FONT></TD>
    <TD STYLE="border-right: black 1pt solid; border-bottom: black 1pt solid; padding: 8pt; line-height: 115%; text-align: center"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt; color: #2D2D2D"><I>USD [*]</I></FONT></TD></TR>
</TABLE>
<P STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin: 8pt 8.65pt 8pt 42.5pt; text-align: justify; text-indent: -0.95pt"><FONT STYLE="color: #2D2D2D"><I>In
the case Roche doesn&rsquo;t purchase the forecasted volume of Products</I></FONT><I><FONT STYLE="color: #484848">, </FONT><FONT STYLE="color: #2D2D2D">ROCHE
shall pay the difference of the price actually paid to the price which applies for the purchased volume at the end of the respective
calendar year.</FONT></I><FONT STYLE="color: #2D2D2D">&rdquo;</FONT></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 7.55pt; color: #2D2D2D">1.4 &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B">A
new Section 10 shall be inserted into the Agreement to read as follows:</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 42.5pt; text-align: justify; color: #2D2D2D"><I>&ldquo;10</I></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 76pt; text-align: justify; color: #2D2D2D"><I>Compliance,
Sustainability</I></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 8pt; color: #2D2D2D"><TR STYLE="vertical-align: top">
<TD STYLE="width: 42pt"></TD><TD STYLE="width: 34pt"><I>10.1</I></TD><TD STYLE="text-align: justify; padding-right: 8.5pt"><I>Supplier shall manufacture the Products in conformity to those laws and
regulations related to safety, health and environment that are applicable to the manufacture of the Products at the manufacturing
site of Supplier. In addition Supplier must respect those human rights that are within its sphere of influence and must abide by
the ROCHE Supplier Code of Conduct </I></TD></TR></TABLE>

<P STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin: 0 8.5pt 8pt 76.95pt; text-align: justify; text-indent: -0.95pt; color: #2D2D2D"><I>(<U>http://www.roche.com/roche_supplier_code_of_conduct.pdf</U>)</I></P>

<P STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin: 0 8.5pt 8pt 76.95pt; text-align: justify; text-indent: -0.95pt; color: #2D2D2D"><I>which
outlines the PSCI Principles.</I></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 8pt; color: #2D2D2D"><TR STYLE="vertical-align: top">
<TD STYLE="width: 42pt"></TD><TD STYLE="width: 34pt"><I>I0.2</I></TD><TD STYLE="text-align: justify; padding-right: 8.35pt"><I>Supplier shall also require its own suppliers to commit to the principles
outlined in the ROCHE Supplier Code of Conduct and to comply with the same.</I></TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 8pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 41.75pt"></TD><TD STYLE="width: 34.25pt"><FONT STYLE="color: #2D2D2D"><I>10.3</I></FONT></TD><TD STYLE="text-align: justify; padding-right: 9.15pt"><FONT STYLE="color: #2D2D2D"><I>ROCHE reserves the right to audit Supplier
at any time with regard to complian</I></FONT><I><FONT STYLE="color: #484848">c</FONT><FONT STYLE="color: #2D2D2D">e with the terms
of this Agreement and all applicable laws and regulations including the ROCHE Supplier Code of Conduct. In case of non-compliance
ROCHE reserves the right to terminate the Agreement at any time with immediate effect by written notice to Supplier.</FONT></I><FONT STYLE="color: #2D2D2D">&rdquo;</FONT></TD></TR></TABLE>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B">The numbering
of following Sections 10-12 shall be changed to Sections 11-13.</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 5.4pt; color: #2D2D2D"><B>2. &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</B></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B"><B>EFFECTIVE
DATE</B></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B">This Amendment
shall come into effect on December 1, 2016.</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt">Portions of this Exhibit have been redacted pursuant to a
request for confidential treatment under Rule 24b-2 of the General Rules and Regulations under the Securities Exchange Act of 1934.
Omitted information, marked &ldquo;[*]&rdquo; in this Exhibit, has been filed separately with the Securities and Exchange Commission
together with such request for confidential treatment.</P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 -11pt 5.35pt; color: #2A2A2A"><B>3.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</B></P>

<P STYLE="font: 10pt/normal Times New Roman, Times, Serif; margin: 0 0 8pt 40.5pt; color: #2B2B2B"><B>MISCELLANEOUS</B></P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/119% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 8pt; color: #2A2A2A"><TR STYLE="vertical-align: top">
<TD STYLE="width: 5.55pt"></TD><TD STYLE="width: 34.45pt">3.1</TD><TD STYLE="text-align: justify; padding-right: 2.95pt">Except as expressly provided in this Amendment, the Parties agree that the
Agreement will remain unchanged and in full force and effect.</TD></TR></TABLE>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt/120% Times New Roman, Times, Serif; margin-top: 0; margin-bottom: 24pt; color: #2A2A2A"><TR STYLE="vertical-align: top">
<TD STYLE="width: 5.75pt"></TD><TD STYLE="width: 34.25pt">3.2</TD><TD STYLE="text-align: justify; padding-right: 2.9pt">No provision of this Amendment may be modified or amended except expressly
by written amendment of this document signed by the Parties. Any waiver of the written form requirement must be made in writing
to be valid.</TD></TR></TABLE>

<P STYLE="font: 10pt/10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center; color: #2A2A2A">-NEXT PAGE IS SIGNATURE
PAGE-</P>

<P STYLE="font: 10pt/10pt Times New Roman, Times, Serif; margin: 0 0 8pt; text-align: center; color: #2A2A2A">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0 0 8pt">Portions of this Exhibit have been redacted pursuant to a
request for confidential treatment under Rule 24b-2 of the General Rules and Regulations under the Securities Exchange Act of 1934.
Omitted information, marked &ldquo;[*]&rdquo; in this Exhibit, has been filed separately with the Securities and Exchange Commission
together with such request for confidential treatment.</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="width: 100%; font: 10pt Calibri, Helvetica, Sans-Serif; border-collapse: collapse">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 48%; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Penzberg, November 11, 2016</FONT></TD>
    <TD STYLE="width: 4%; padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="width: 48%; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Penzberg, November 03, 2016</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="line-height: 115%">&nbsp;</TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="line-height: 115%">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Roche Diagnostics GmbH</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="line-height: 115%">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="line-height: 115%">&nbsp;</TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="line-height: 115%">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">i.V.</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">i.V.</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="line-height: 115%">&nbsp;</TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="line-height: 115%">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="border-bottom: Black 1pt solid; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">&nbsp;&nbsp;&nbsp;&nbsp;/s/&nbsp;&nbsp;Janine Ackermann</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="border-bottom: Black 1pt solid; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">&nbsp;&nbsp;&nbsp;&nbsp;/s/ Lisa Basty</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Janine Ackermann</FONT></TD>
    <TD STYLE="padding-right: 5.4pt; padding-left: 5.4pt; line-height: 115%">&nbsp;</TD>
    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Lisa Basty</FONT></TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Procurement Manager</FONT></TD>
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    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Legal Counsel</FONT></TD></TR>
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    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Romeoville, IL, November 21, 2016</FONT></TD>
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    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Nanophase Technologies Corporation</FONT></TD>
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    <TD STYLE="border-bottom: Black 1pt solid; line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">&nbsp;&nbsp;&nbsp;&nbsp;/s/&nbsp;&nbsp;Jess Jankowski</FONT></TD>
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    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">Jess Jankowski</FONT></TD>
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    <TD STYLE="line-height: 115%"><FONT STYLE="font-family: Times New Roman, Times, Serif; font-size: 10pt">President and CEO</FONT></TD>
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