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Filing Details

Accession Number:: 0000899243-18-025031
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-09-21 20:08:32
Reporting Period:: 2018-09-11

Accepted Time:: 2018-09-21 20:08:32
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
793524	Research Frontiers Inc	REFR	Patent Owners & Lessors (6794)	112103466

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1132859	Kevin Douglas	125 E. Sir Francis Drake Blvd., Ste 400 Larkspur CA 94939	No	No	Yes	Yes
1268474	Trust Family Douglas	125 E. Sir Francis Drake Blvd., Ste 400 Larkspur CA 94939	No	No	Yes	Yes
1268475	Trust Descendants Irrevocable Douglas Jean & James	125 E. Sir Francis Drake Blvd., Ste 400 Larkspur CA 94939	No	No	Yes	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-09-11	163,044	$0.92	1,107,625	No	4	P	Direct
Common Stock	Acquisiton	2018-09-11	271,739	$0.92	1,846,043	No	4	P	Indirect	By James Douglas and Jean Douglas Irrevocable Descendants' Trust
Common Stock	Acquisiton	2018-09-11	108,696	$0.92	738,416	No	4	P	Indirect	By Douglas Family Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	By James Douglas and Jean Douglas Irrevocable Descendants' Trust
No	4	P	Indirect	By Douglas Family Trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant (right to buy)	Acquisiton	2018-09-11	81,522	$0.00	81,522	$0.00
Common Stock	Warrant (right to buy)	Acquisiton	2018-09-11	135,869	$0.00	135,869	$0.00
Common Stock	Warrant (right to buy)	Acquisiton	2018-09-11	54,348	$0.00	54,348	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
81,522	2019-02-15	2023-09-30	No	4	P	Direct
135,869	2019-02-15	2023-09-30	No	4	P	Indirect
54,348	2019-02-15	2023-09-30	No	4	P	Indirect

Footnotes

These shares are held directly and jointly by Kevin Douglas and his wife, Michelle Douglas.
Each of the reporting persons hereunder (individually, a "Reporting Person" and collectively the "Reporting Persons") may be deemed a member of a "group" within the meaning of Section 13(d)(3) of the Securities and Exchange Act of 1934, as amended (the "Exchange Act") or Rule 13d-5 promulgated under the Exchange Act, with one or more of the other Reporting Persons. Although the Reporting Persons are reporting such securities as if they were members of a "group", the filing of this Form 4 shall not be deemed an admission by any Reporting Person that such Reporting Person is a beneficial owner of any securities other than those directly held by such Reporting Person.
These shares are held directly by the James Douglas and Jean Douglas Irrevocable Descendants' Trust and indirectly by Kevin Douglas and Michelle Douglas. Kevin Douglas and Michelle Douglas, husband and wife, are each a co-trustee of the James Douglas and Jean Douglas Irrevocable Descendants' Trust.
These shares are held directly by the Douglas Family Trust and indirectly by Kevin Douglas. James E. Douglas, Jr. and Jean A. Douglas, husband and wife, are each a co-trustee of the Douglas Family Trust.
These warrants contain a variable exercise price feature and and are exercisable at $1.10 per share if exercised prior to September 30, 2019, $1.20 per share if exercised from October 1, 2019 to September 30, 2020, and $1.38 per share if exercised after September 30, 2020.