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RESEARCH FRONTIERS INC — Director's Dealing 2014
May 12, 2014
34569_dirs_2014-05-12_8726972c-6e2e-4fce-8f3c-93c0ba53d314.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RESEARCH FRONTIERS INC (REFR)
CIK: 0000793524
Period of Report: 2014-05-08
Reporting Person: DOUGLAS KEVIN (10% Owner, 13(d)(3) group)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-08 | Common Stock | P | 225000 | $4.65 | Acquired | 886860 | Direct |
| 2014-05-08 | Common Stock | P | 375000 | $4.65 | Acquired | 1478099 | Indirect |
| 2014-05-08 | Common Stock | P | 150000 | $4.65 | Acquired | 591240 | Indirect |
Footnotes
F1: These shares are held directly and jointly by Kevin Douglas and his wife, Michelle Douglas.
F2: 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 member 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.
F3: These shares are held directly by the James Douglas and Jean Douglas Irrevocable Descendants' Trust and indirectly by Kevin Douglas, Kevin Douglas and Michelle Douglas, husband and wife, are each a co-trustee of the James Douglas and Jean Douglas Irrevocable Descendants' Trust.
F4: These shares are held directly by the Douglas 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.