Amended Statement of Beneficial Ownership (3/a)
January 04 2021 - 05:00PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP
OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Settle William
Graham |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
8/17/2020
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3. Issuer Name and Ticker or Trading
Symbol RESEARCH FRONTIERS INC [REFR] |
(Last)
(First)
(Middle)
6003 COBRIDGE SQUARE |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____
Other (specify below)
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(Street)
RALEIGH, NC 27609
(City)
(State)
(Zip)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
8/18/2020
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6. Individual or Joint/Group
Filing(Check Applicable
Line)_X_ Form filed by One Reporting
Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially
Owned
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1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Common Stock |
226375 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying
Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative
Security |
5. Ownership Form of Derivative Security: Direct (D)
or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Purchase Warrant |
10/1/2018 |
9/30/2023 |
Common Stock |
27174 |
$1.10 (1) |
D |
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Stock Purchase Warrant |
6/1/2019 |
5/31/2024 |
Common Stock |
88652 |
$3.38 (2) |
D |
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Explanation of
Responses: |
(1) |
Exercise price ranges
between $1.10 and $1.38 depending upon the date of
exercise |
(2) |
Exercise price ranges
between $3.38 and $4.23 depending upon the date of
exercise |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Settle William Graham
6003 COBRIDGE SQUARE
RALEIGH, NC 27609 |
X |
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Signatures
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/s/ William Graham Settle |
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1/4/2021 |
**Signature of
Reporting Person |
Date |