Amended Current Report Filing (8-k/a)
04 Novembre 2020 - 2:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K/A
(Amendment No. 1)
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
November 4, 2020 (October 28, 2020)
NANOPHASE
TECHNOLOGIES CORPORATION
(Exact name of registrant as specified in
its charter)
Delaware
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0-22333
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36-3687863
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(State or other
jurisdiction of
incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1319 Marquette Drive, Romeoville, Illinois
60446
(Address of principal executive offices)
(Zip Code)
Registrant’s telephone number, including
area code: (630) 771-6700
Not applicable
(Former name or former address, if changed
since last report)
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 (see General Instruction A.2. below):
☐ Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check
mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405)
or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company ☐
If an emerging growth
company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any
new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Securities registered
pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock
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NANX
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OTCQB
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Explanatory Note
On October 30, 2020, Nanophase Technologies
Corporation (the "Company") filed a Current Report on Form 8-K (the "Original Form 8-K") reporting, among other
things, that on October 28, 2020, Ms. Laura M. Beres was appointed as a member of the Board of Directors (the “Board”)
of the Company. The sole purpose of this Amendment No. 1 to the Original Form 8-K is to disclose Ms. Beres’ assignments to
the committees of the Board, that there is no arrangement or understanding pursuant to which she was appointed to serve on the
Board, that the Company is not aware of any transactions involving Ms. Beres that are reportable under Item 404(a) of Regulation
S-K and that Ms. Beres will receive the same compensation as other directors of the Company.
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Item 5.02
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Departure of Directors or Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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Ms. Beres has been appointed to the following
committees of the Board: Audit and Finance Committee, Compensation Committee, and Nominating and Corporate Governance Committee.
There is no arrangement or understanding between Ms. Beres and any other person pursuant to which she was appointed to serve on
the Board. The Company is not aware of any transactions involving Ms. Beres that are reportable under Item 404(a) of Regulation
S-K. Ms. Beres will receive the same compensation as other directors of the Company.
SIGNATURES
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.
Dated: November 4, 2020
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NANOPHASE TECHNOLOGIES CORPORATION
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By:
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/s/ JESS JANKOWSKI
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Name: Jess Jankowski
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Title: Chief Executive Officer
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Nanophase Technologies (QB) (USOTC:NANX)
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