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