Sec Form 4 Filing - VAN VOORHEES SETH @ RESEARCH FRONTIERS INC - 2020-02-21

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
VAN VOORHEES SETH
2. Issuer Name and Ticker or Trading Symbol
RESEARCH FRONTIERS INC [ REFR]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
CFO & VP-Business Development
(Last) (First) (Middle)
C/O RESEARCH FRONTIERS INC.,, 240 CROSSWAYS PARK DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
02/21/2020
(Street)
WOODBURY,, NY11797
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ 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 02/21/2020 F V 13,717 A $ 1.83 152,617 D
Common Stock 02/21/2020 F V 22,158 A $ 1.06 174,775 D
Common Stock 02/21/2020 F V 45,272 A $ 1 220,047 D
Common Stock 02/21/2020 F V 5,746 A $ 2.89 225,793 D
Common Stock 02/21/2020 F V 4,661 A $ 3.11 230,454 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, 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
Stock Option (right to buy) $ 1.83 02/21/2020 M( 1 ) 25,000 12/31/2016 12/30/2026 Common Stock 25,000 $ 0 280,191 D
Stock Option (right to buy) $ 1.06 02/21/2020 M( 1 ) 30,000 12/31/2017 12/30/2027 Common Stock 30,000 $ 0 250,191 D
Stock Option (right to buy) $ 1 02/21/2020 M( 1 ) 60,091 04/19/2018 04/18/2028 Common Stock 60,091 $ 0 190,100 D
Stock Option (right to buy) $ 2.89 02/21/2020 M( 1 ) 20,000 06/13/2019 06/12/2029 Common Stock 20,000 $ 0 170,100 D
Stock Option (right to buy) $ 3.11 02/21/2020 M( 1 ) 20,000 12/31/2019 12/31/2029 Common Stock 20,000 $ 0 150,100 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
VAN VOORHEES SETH
C/O RESEARCH FRONTIERS INC.,
240 CROSSWAYS PARK DRIVE
WOODBURY,, NY11797
CFO & VP-Business Development
Signatures
/s/ Seth Van Voorhees 02/24/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents payment of $257,641 aggregate exercise price of these options by the reduction of securities issued by 63,537 shares, resulting in a net issuance of 91,554 shares.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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