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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Nanophase Technologies Corporation
Common Stock, par value $ 0.01
630079101
March 23, 2004
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1 (b)
þ Rule 13d-1 (c)
o Rule 13d-1 (d)
*The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
13G | ||||||
CUSIP No. 630079101 | Page 2 of 11 | |||||
1. | Name of Reporting Person: ALTANA Aktiengesellschaft |
I.R.S. Identification Nos. of above
persons (entities only): |
||||
2. | Check the Appropriate Box if a Member of a Group: | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Citizenship or Place of
Organization: Federal Republic of Germany |
|||||
Number
of Shares Beneficially Owned by Each Reporting Person With | ||||||
5. | Sole Voting
Power: 1,256,281 | |||||
6. | Shared Voting Power: 0 | |||||
7. | Sole Dispositive Power: 1,256,281 | |||||
8. | Shared Dispositive Power: 0 | |||||
9. | Aggregate Amount Beneficially Owned by Each Reporting Person:
1,256,281 |
|||||
10. | Check if the Aggregate Amount in Row (9) Excludes Certain
Shares: o Not applicable |
|||||
11. | Percent of Class Represented by Amount in Row
(9): 7.01% | |||||
12. | Type of Reporting Person: CO | |||||
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13G | ||||||
CUSIP No. 630079101 | Page 3 of 11 | |||||
1. | Name of Reporting Person: ALTANA Chemie AG |
I.R.S. Identification Nos. of above
persons (entities only): |
||||
2. | Check the Appropriate Box if a Member of a Group: | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Citizenship or Place of
Organization: Federal Republic of Germany |
|||||
Number
of Shares Beneficially Owned by Each Reporting Person With | ||||||
5. | Sole Voting
Power: 1,256,281 | |||||
6. | Shared Voting Power: 0 | |||||
7. | Sole Dispositive Power: 1,256,281 | |||||
8. | Shared Dispositive Power: 0 | |||||
9. | Aggregate Amount Beneficially Owned by Each Reporting Person:
1,256,281 |
|||||
10. | Check if the Aggregate Amount in Row (9) Excludes Certain
Shares: o Not applicable |
|||||
11. | Percent of Class Represented by Amount in Row
(9): 7.01% | |||||
12. | Type of Reporting Person: CO | |||||
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13G | ||||||
CUSIP No. 630079101 | Page 4 of 11 | |||||
1. | Name of Reporting Person: Susanne Klatten |
I.R.S. Identification Nos. of above
persons (entities only): |
||||
2. | Check the Appropriate Box if a Member of a Group: | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Citizenship or Place of
Organization: Federal Republic of Germany |
|||||
Number
of Shares Beneficially Owned by Each Reporting Person With | ||||||
5. | Sole Voting
Power: 1,256,281 | |||||
6. | Shared Voting Power: 0 | |||||
7. | Sole Dispositive Power: 1,256,281 | |||||
8. | Shared Dispositive Power: 0 | |||||
9. | Aggregate Amount Beneficially Owned by Each Reporting Person:
1,256,281 |
|||||
10. | Check if the Aggregate Amount in Row (9) Excludes Certain
Shares: o Not applicable |
|||||
11. | Percent of Class Represented by Amount in Row
(9): 7.01% | |||||
12. | Type of Reporting Person: IN | |||||
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ITEM 1
(a) | Name of Issuer: | |||
Nanophase Technologies Corporation | ||||
(b) | Address of Issuers Principal Executive Offices: | |||
1319 Marquette Drive, Romeoville, Illinois 60446 |
ITEM 2.
(a) | Name of Person Filing: | |||
ALTANA Aktiengesellschaft | ||||
ALTANA Chemie AG | ||||
Susanne Klatten | ||||
(b) | Address of Principal Business Office or, if None, Residence: | |||
ALTANA Aktiengesellschaft, Am Pilgerrain 15, D-61352 Bad Homburg v. d. Höhe, Federal Republic of Germany |
||||
ALTANA Chemie AG, Abelstrasse 45, D-46483 Wesel, Federal Republic of Germany |
||||
Susanne Klatten, Günther-Quandt-Haus, Seedammweg 55, D-61352 Bad Homburg v. d. Höhe, Federal Republic of Germany |
||||
(c) | Citizenship: | |||
See Item 4 on page 2. | ||||
See Item 4 on page 3. | ||||
See Item 4 on page 4. | ||||
(d) | Title of Class of Securities: | |||
Common Stock, par value $ 0.01. |
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(e) | CUSIP Number: | |||
630079101 |
ITEM 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a) | [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). | |||
(b) | [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c). | |||
(c) | [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c). | |||
(d) | [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). | |||
(e) | [ ] An investment advisor in accordance with §240.13d-1(b)(1)(ii)(E). | |||
(f) | [ ] An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F). | |||
(g) | [ ] A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G). | |||
(h) | [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). | |||
(i) | [ ] A church plan that is excluded
from the definition of an investment company under
Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). |
|||
(j) | [ ] Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
ITEM 4. Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) | Amount beneficially owned: | |||
See Item 9 on page 2. | ||||
See Item 9 on page 3. |
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See Item 9 on page 4. | ||||
(b) | Percent of class: | |||
See Item 11 on page 2. | ||||
See Item 11 on page 3. | ||||
See Item 11 on page 4. | ||||
(c) | Number of shares as to which the person has: |
(i) | Sole power to vote or direct the vote: | |||
See Item 5 on page 2. | ||||
See Item 5 on page 3. | ||||
See Item 5 on page 4. | ||||
(ii) | Shared power to vote or direct the vote: | |||
See Item 6 on page 2. | ||||
See Item 6 on page 3. | ||||
See Item 6 on page 4. | ||||
(iii) | Sole power to dispose or direct the disposition of: | |||
See Item 7 on page 2. | ||||
See Item 7 on page 3. | ||||
See Item 7 on page 4. | ||||
(iv) | Shared power to dispose or to direct the disposition of: | |||
See Item 8 on page 2. | ||||
See Item 8 on page 3. | ||||
See Item 8 on page 4. |
ITEM 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of
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more than five percent of the class of securities, check the following [ ].
ITEM 6. Ownership of More than Five Percent on Behalf of Another Person.
Not applicable.
ITEM 7. Identification and
Classification of the Subsidiary Which Acquired the Security Being
Reported on by the Parent Holding
Company or Control Person.
ALTANA Chemie AG holds the common stock of Nanophase Technologies Corporation. ALTANA Chemie AG is a wholly owned direct subsidiary of ALTANA Aktiengesellschaft. Ms. Susanne Klatten is the majority shareholder of ALTANA Aktiengesellschaft.
ITEM 8. Identification and Classification of the Members of the Group.
Not applicable.
ITEM 9. Notice of Dissolution of Group.
Not applicable.
ITEM 10. Certifications.
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
April 7, 2005 | ||||
Date | ||||
ALTANA Aktiengesellschaft |
||||
/s/ Dr. Hermann Küllmer | ||||
Signature | ||||
Dr. Hermann Küllmer Chief Financial Officer and Member of the Management Board |
||||
/s/ Dr. Rudolf Pietzke | ||||
Signature | ||||
Dr. Rudolf Pietzke General Counsel |
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ALTANA Chemie AG |
||||
/s/ Dr. Matthias L. Wolfgruber | ||||
Signature | ||||
Dr. Matthias L. Wolfgruber President and Chief Executive Officer |
||||
/s/ Martin Babilas | ||||
Signature | ||||
Martin Babilas Authorized Officer |
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/s/ Susanne Klatten | ||||
Signature | ||||
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