Amended Statement of Beneficial Ownership (3/a)
January 04 2021 - 5:00PM
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
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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
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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]
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(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)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 8/18/2020
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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 | |
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 | |
Stock Purchase Warrant | 6/1/2019 | 5/31/2024 | Common Stock | 88652 | $3.38 (2) | D | |
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 |
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 | | 1/4/2021 |
**Signature of Reporting Person | Date |
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