Sec Form 4 Filing - DOUGLAS KEVIN @ RESEARCH FRONTIERS INC - 2020-07-13

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
DOUGLAS KEVIN
2. Issuer Name and Ticker or Trading Symbol
RESEARCH FRONTIERS INC [ REFR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) X __ Other (specify below)
13(d)(3) group
(Last) (First) (Middle)
125 E. SIR FRANCIS DRAKE BLVD., STE 400
3. Date of Earliest Transaction (MM/DD/YY)
07/13/2020
(Street)
LARKSPUR, CA94939
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/13/2020 S 4,659 D $ 3.45 1,029,319 D ( 1 ) ( 2 )
Common Stock 07/14/2020 S 5,297 D $ 3.36 1,024,022 D ( 1 ) ( 2 )
Common Stock 07/13/2020 S 7,765 D $ 3.45 1,715,534 I ( 2 ) ( 3 ) By James Douglas and Jean Douglas Irrevocable Descendants' Trust
Common Stock 07/14/2020 S 8,829 D $ 3.36 1,706,705 I ( 2 ) ( 3 ) By James Douglas and Jean Douglas Irrevocable Descendants' Trust
Common Stock 07/13/2020 S 3,106 D $ 3.45 686,214 I ( 2 ) ( 4 ) By Douglas Family Trust
Common Stock 07/14/2020 S 3,532 D $ 3.36 682,682 I ( 2 ) ( 4 ) By Douglas Family Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , p uts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
DOUGLAS KEVIN
125 E. SIR FRANCIS DRAKE BLVD., STE 400
LARKSPUR, CA94939
X 13(d)(3) group
DOUGLAS FAMILY TRUST
125 E. SIR FRANCIS DRAKE BLVD., STE 400
LARKSPUR, CA94939
X 13(d)(3) group
JAMES & JEAN DOUGLAS IRREVOCABLE DESCENDANTS TRUST
125 E. SIR FRANCIS DRAKE BLVD., STE 400
LARKSPUR, CA94939
X 13(d)(3) group
Signatures
/s/ Eileen Wheatman, attorney in fact for Kevin Douglas 07/15/2020
Signature of Reporting Person Date
/s/ Eileen Wheatman, attorney in fact for Douglas Family Trust 07/15/2020
Signature of Reporting Person Date
/s/ Eileen Wheatman, attorney in fact for James Douglas and Jean Douglas Irrevocable Descendants' Trust 07/15/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares are held directly and jointly by Kevin Douglas and his wife, Michelle Douglas.
( 2 )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.
( 3 )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.
( 4 )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.

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