Filing Details
- Accession Number:
- 0000793524-11-000012
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-14 19:09:49
- Reporting Period:
- 2011-02-10
- Filing Date:
- 2011-02-14
- Accepted Time:
- 2011-02-14 19:09:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 793524 | Research Frontiers Inc | REFR | Patent Owners & Lessors (6794) | 112103466 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1221505 | M Joseph Harary | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-02-08 | 45,730 | $3.69 | 261,344 | No | 5 | F | Direct | |
| Common Stock | Disposition | 2011-02-10 | 24,000 | $8.65 | 237,344 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-14 | 10,000 | $8.10 | 227,344 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | F | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2011-02-08 | 75,000 | $0.00 | 75,000 | $3.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 230,000 | 2010-01-01 | 2019-12-31 | No | 5 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 97,560 | Indirect | Owned by Mr. Harary's children |
Footnotes
- On February 10, 2011, in a privately negotiated transaction, Mr. Harary sold 24,000 shares of common stock to company Vice President-Business Development and CFO Seth Van Voorhees
- Represents payment of $276,750 exercise price of options to purchase 75,000 shares at an exercise price of $3.69 per share by delivery of cash and reduction of securities issued by 29,270 shares, resulting in a net issuance of 45,730 shares.
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