Offerings // RESEARCH FRONTIERS INC

REFR offering history

Every offering-related filing in RESEARCH FRONTIERS INC’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 903 filings back to Aug 14, 1995.

Last executed offering

Jun 3, 2019

424B2 — priced deal (shares or notes)

Last registration (announced)

Mar 13, 2018

S-3 — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Jun 3, 2019	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Sep 7, 2018	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Apr 23, 2018	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Apr 23, 2018	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Mar 13, 2018	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
May 8, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Dec 26, 2012	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 20, 2012	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Dec 11, 2012	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Nov 6, 2012	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Oct 5, 2012	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Aug 28, 2012	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Aug 27, 2012	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Aug 2, 2012	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Feb 14, 2012	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 19, 2012	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Dec 1, 2010	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Sep 27, 2010	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Sep 17, 2010	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Mar 3, 2010	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Aug 3, 2009	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
May 28, 2009	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 8, 2009	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Feb 14, 2007	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Oct 12, 2006	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Aug 28, 2006	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
May 25, 2006	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 5, 2006	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Feb 14, 2005	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Nov 8, 2004	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Jul 8, 2004	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Apr 30, 2004	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Dec 31, 2003	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Dec 31, 2001	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 7, 2000	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 21, 1999	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Apr 26, 1999	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Feb 25, 1999	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Dec 24, 1998	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Nov 24, 1998	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet

REFR offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

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REFR offering FAQ

When did REFR last execute an offering?

Per SEC filings, RESEARCH FRONTIERS INC's most recent priced offering document is a 424B2 filed 2019-06-03. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did REFR last announce or register an offering?

The most recent registration is a S-3 filed 2018-03-13. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.