<SEC-DOCUMENT>0001209191-23-047549.txt : 20230828
<SEC-HEADER>0001209191-23-047549.hdr.sgml : 20230828
<ACCEPTANCE-DATETIME>20230828200009
ACCESSION NUMBER:		0001209191-23-047549
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20230824
FILED AS OF DATE:		20230828
DATE AS OF CHANGE:		20230828

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			JANKOWSKI JESS
		CENTRAL INDEX KEY:			0001184478

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-22333
		FILM NUMBER:		231217660

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
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
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<DESCRIPTION>FORM 4 SUBMISSION
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    </derivativeTable>

    <footnotes>
        <footnote id="F1">These stock options are set to expire on 02/13/2024. Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights.  His goal is to have this broker sell shares from this grant, under fixed guidelines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation &amp; Governance Committee of the Nanophase Board of Directors.</footnote>
        <footnote id="F2">If not sold through a 10b5-1 Plan, Nanophase trading blackout periods run from the 25th of the last day of any given quarter until 3 days after earnings are released.  In example, for options expiring during the 1st quarter of any given year, trading would be prohibited from December 25th of the prior year, through the release of annual earnings plus 3 business days.  Typically, this would reopen trading in early-to-mid March, through March 24th.  The next blackout period would begin on March 25th, etc.  Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.</footnote>
        <footnote id="F3">These stock options are set to expire on 02/13/2024.  Mr. Jankowski established a 10b5-1 Plan with an independent broker with a goal of having his broker sell shares from this grant, under fixed guidelines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume.  His Plan was approved in advance by the Compensation &amp; Governance Committee of the Nanophase Board of Directors.</footnote>
        <footnote id="F4">Subject to certain restrictions, beginning on this date, options vest in three equal installments.</footnote>
        <footnote id="F5">Subject to certain restrictions, beginning on this date, the options vest in three equal annual installments.</footnote>
        <footnote id="F6">Subject to certain restrictions, beginning on this date, options vest in three equal annual installments.</footnote>
    </footnotes>

    <remarks>Mr. Jankowski converted and sold these shares through a 10b5-1 Plan that has been established with an independent broker to avoid the loss of these stock option rights.  His goal is to have this broker sell shares from this grant, under fixed guidelines, in a regular and measured manner designed to avoid both forfeiture of shares due to expiration, and impacting the stock price due to excessive trading volume. His Plan was approved in advance by the Compensation &amp; Governance Committee of the Nanophase Board of Directors.  Given the quantity of shares involved relative to daily trading volume, the limited amount of open trading days available due to trading blackout periods, and looming stock option expirations, Mr. Jankowski established a 10b5-1 Plan to avoid the loss of these rights in a way intended to minimize the impact on Nanophase shareholders.</remarks>

    <ownerSignature>
        <signatureName>Jess A. Jankowski</signatureName>
        <signatureDate>2023-08-28</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
