0000899243-18-025031.txt : 20180921 0000899243-18-025031.hdr.sgml : 20180921 20180921200832 ACCESSION NUMBER: 0000899243-18-025031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180911 FILED AS OF DATE: 20180921 DATE AS OF CHANGE: 20180921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JAMES & JEAN DOUGLAS IRREVOCABLE DESCENDANTS TRUST CENTRAL INDEX KEY: 0001268475 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14893 FILM NUMBER: 181082488 BUSINESS ADDRESS: STREET 1: 125 E. SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 400 CITY: LARKSPUR STATE: CA ZIP: 94939 BUSINESS PHONE: 4155262200 MAIL ADDRESS: STREET 1: 125 E. SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 400 CITY: LARKSPUR STATE: CA ZIP: 94939 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOUGLAS FAMILY TRUST CENTRAL INDEX KEY: 0001268474 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14893 FILM NUMBER: 181082489 BUSINESS ADDRESS: STREET 1: 125 E. SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 400 CITY: LARKSPUR STATE: CA ZIP: 94939 BUSINESS PHONE: 415-526-2200 MAIL ADDRESS: STREET 1: 125 E. SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 400 CITY: LARKSPUR STATE: CA ZIP: 94939 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOUGLAS KEVIN CENTRAL INDEX KEY: 0001132859 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14893 FILM NUMBER: 181082490 MAIL ADDRESS: STREET 1: 125 E. SIR FRANCIS DRAKE BLVD. STREET 2: SUITE 400 CITY: LARKSPUR STATE: CA ZIP: 94939 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RESEARCH FRONTIERS INC CENTRAL INDEX KEY: 0000793524 STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794] IRS NUMBER: 112103466 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 240 CROSSWAYS PARK DR CITY: WOODBURY STATE: NY ZIP: 11797-2033 BUSINESS PHONE: 5163641902 MAIL ADDRESS: STREET 1: 240 CROSSWAYS PARK DR CITY: WOODBURY STATE: NY ZIP: 11797-2033 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-09-11 0 0000793524 RESEARCH FRONTIERS INC REFR 0001132859 DOUGLAS KEVIN 125 E. SIR FRANCIS DRAKE BLVD., STE 400 LARKSPUR CA 94939 0 0 1 1 13(d)(3) group 0001268474 DOUGLAS FAMILY TRUST 125 E. SIR FRANCIS DRAKE BLVD., STE 400 LARKSPUR CA 94939 0 0 1 1 13(d)(3) group 0001268475 JAMES & JEAN DOUGLAS IRREVOCABLE DESCENDANTS TRUST 125 E. SIR FRANCIS DRAKE BLVD., STE 400 LARKSPUR CA 94939 0 0 1 1 13(d)(3) group Common Stock 2018-09-11 4 P 0 163044 0.92 A 1107625 D Common Stock 2018-09-11 4 P 0 271739 0.92 A 1846043 I By James Douglas and Jean Douglas Irrevocable Descendants' Trust Common Stock 2018-09-11 4 P 0 108696 0.92 A 738416 I By Douglas Family Trust Warrant (right to buy) 2018-09-11 4 P 0 81522 0.00 A 2019-02-15 2023-09-30 Common Stock 81522 81522 D Warrant (right to buy) 2018-09-11 4 P 0 135869 0.00 A 2019-02-15 2023-09-30 Common Stock 135869 135869 I By James Douglas and Jean Douglas Irrevocable Descendants' Trust Warrant (right to buy) 2018-09-11 4 P 0 54348 0.00 A 2019-02-15 2023-09-30 Common Stock 54348 54348 I By Douglas Family Trust 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. /s/ Eileen Wheatman, attorney in fact for Kevin Douglas 2018-09-21 /s/ Eileen Wheatman, attorney in fact for Douglas Family Trust 2018-09-21 /s/ Eileen Wheatman, attorney in fact for James Douglas and Jean Douglas Irrevocable Descendants' Trust 2018-09-21