SEC Form SC 13G filed by Research Frontiers Incorporated

10/19/23 3:59:29 PM ET

Multi-Sector Companies

Miscellaneous

Get the next $REFR alert in real time by email

SC 13G 1 attachment.txt 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Research Frontiers Incorporated (Name of Issuer) Common Shares (Title of Class of Securities) 76091107 (CUSIP Number) 10/17/2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ? Rule 13d-1(b) ? Rule 13d-1(c) ? Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person?s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be ?filed? for the purpose of Section 18 of the Securities Exchange Act of 1934 (?Act?) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 1 Names of Reporting Persons John F. Nelson 2 Check the appropriate box if a member of a Group (see instructions) (a) ? (b) ? 3 SEC Use only 4 Citizenship or Place of Organization Wisconsin, United States Number of Shares Beneficially Owned by Each Reporting Person With: 5 Sole Voting Power 1,680,944 6 Shared Voting Power 0 7 Sole Dispositive Power 1,680,944 8 Shared Dispositive Power 0 9 Aggregate Amount Beneficially Owned by Each Reporting Person 1,680,944 10 Check box if the aggregate amount in row (9) excludes certain shares (See Instructions) ? 11 Percent of class represented by amount in row (9) 5.01635% (based on Issurer?s 10-K of 03-09-23) 12 Type of Reporting Person (See Instructions) IN Notes: (1) The number of the common shares of the issuer outstanding used in calculating the percentage is 33,509,287 as of the date hereof. Item 1: (a) Name of Issuer Research Frontiers Incorporated (b) Address of Issuer?s Principal Executive Offices: 240 Crossways Park Drive Woodbury, NY 11797-2033 Item 2: (a) Names of Persons Filing: (i)John F. Nelson (b) Address of Principal Business Office or, if None, Residence: 3610 Deerpath Road Middleton, WI 53562 (c) Citizenship: United States (d) Title and Class of Securities: Common Stock (e) CUSIP No.: 76091107 Item 3. If this statement is filed pursuant to ?? 240.13d-1(b) or (c), check whether the person filing is a: NOT APPLICABLE (a) ? Broker or dealer registered under Section 15 of the Act; (b) ? Bank as defined in Section 3(a)(6) of the Act; (c) ? Insurance company as defined in Section 3(a)(19) of the Act; (d) ? Investment company registered under Section 8 of the Investment Company Act of 1940; (e) ? An investment adviser in accordance with Rule 13d- 1(b)(1)(ii)(E); (f) ? An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) ? A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) ? A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) ? A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; (j) ? A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); (k) ? Group, in accordance with Rule 240.13d- 1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: Item 4. Ownership Reporting Persons (John F. Nelson) (a) Amount Beneficially Owned 1,680,944 (b) Percent of Class: 5.01635% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,680,944 (750,229 owned in personal account and 930,715 owned in self-directed IRA account) (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,680,944 (iv) Shared power to dispose or to direct the disposition of: 0 Notes: (1) The number of the common shares of the issuer outstanding used in calculating the percentage is 33,509,287 as of the date hereof. Item 5. Ownership of Five Percent or Less of a Class. NOT APPLICABLE If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ?. Item 6. Ownership of more than Five Percent on Behalf of Another Person. NOT APPLICABLE Item 7. Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person. NOT APPLICABLE Item 8. Identification and classification of members of the group. NOT APPLICABLE Item 9. Notice of Dissolution of Group. NOT APPLICABLE Item 10. Certifications. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired, and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. I further certify that I am an attorney, duly licensed in the State of Wisconsin, and I have been expressly retained and authorized by Mr. John F. Nelson to be his attorney and representative for the express purpose of submitting and signing the Schedule 13G on his behalf, and my electronic signature, below, shows and supports the authority to act as his authorized representative. Dated: October 18, 2023. /s/ Stephen L. Morgan Stephen L. Morgan Attorney and Authorized Representative of John F. Nelson Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). 4875-0536-3336, v. 1

Get the next $REFR alert in real time by email

SEC Form SC 13G filed by Research Frontiers Incorporated

Chat with this insight

Recent Analyst Ratings for
$REFR

$REFR
Press Releases

Fastest customizable press release news feed in the world

Research Frontiers Reports First Quarter 2025 Financial Results and Will Host a Conference Call at 4:30p.m. Today

RESEARCH FRONTIERS TO HOST FIRST QUARTER 2025 CONFERENCE CALL

Gauzy's State-of-The-Art Smart Glass Technologies Utilized in the Mercedes-Benz Vision V Show Car, Unveiled at Auto Shanghai 2025

$REFR
Financials

Live finance-specific insights

Research Frontiers Reports First Quarter 2025 Financial Results and Will Host a Conference Call at 4:30p.m. Today

RESEARCH FRONTIERS TO HOST FIRST QUARTER 2025 CONFERENCE CALL

Research Frontiers Reports 2024 Financial Results and Will Host a Conference Call at 4:30p.m. Today

$REFR
SEC Filings

SEC Form 10-Q filed by Research Frontiers Incorporated

SEC Form DEF 14A filed by Research Frontiers Incorporated

Amendment: SEC Form 10-K/A filed by Research Frontiers Incorporated

$REFR
Leadership Updates

Live Leadership Updates

Eyal Peso, CEO of Smart Materials Company Gauzy, Ltd. Joins Board of Directors of Smart Glass Leader Research Frontiers

PDS Biotechnology Appoints Seth Van Voorhees as Chief Financial Officer

$REFR
Large Ownership Changes

This live feed shows all institutional transactions in real time.