Filing Details
- Accession Number:
- 0001104659-19-066543
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-22 13:10:20
- Reporting Period:
- 2019-11-20
- Accepted Time:
- 2019-11-22 13:10:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1015739 | Aware Inc | AWRE | Services-Prepackaged Software (7372) | 042911026 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1324812 | A Robert Eckel | C/O Aware, Inc. 40 Middlesex Turnpike Bedford MA 01730 | Ceo And President | 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 | 2019-11-20 | 1,300 | $3.33 | 27,186 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-11-20 | 2,000 | $3.35 | 29,186 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-11-20 | 2,000 | $3.35 | 31,186 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-11-20 | 800 | $3.35 | 31,986 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-11-21 | 283 | $3.30 | 32,269 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Unrestricted Stock Award | $0.00 | 80,000 | 80,000 | Direct | ||
| Common Stock | Unrestricted Stock Award | $0.00 | 15,000 | 15,000 | Direct | ||
| Common Stock | Stock Option (right to buy) | $4.50 | 2029-09-19 | 50,000 | 50,000 | Direct | |
| Common Stock | Stock Option (right to buy) | $5.50 | 2029-09-19 | 50,000 | 50,000 | Direct | |
| Common Stock | Stock Option (right to buy) | $6.50 | 2029-09-19 | 50,000 | 50,000 | Direct | |
| Common Stock | Stock Option (right to buy) | $7.50 | 2029-09-19 | 50,000 | 50,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 80,000 | 80,000 | Direct | |
| 15,000 | 15,000 | Direct | |
| 2029-09-19 | 50,000 | 50,000 | Direct |
| 2029-09-19 | 50,000 | 50,000 | Direct |
| 2029-09-19 | 50,000 | 50,000 | Direct |
| 2029-09-19 | 50,000 | 50,000 | Direct |
Footnotes
- Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 20,000 shares on September 19, 2020, 20,000 shares on September 19, 2021, 20,000 shares on September 19, 2022, and 20,000 shares on September 19, 2023 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.
- Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. 15,000 shares will be issued on December 31, 2019 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.
- Vests in 16 equal quarterly installments on the last day of each quarter from December 19, 2019 through September 19, 2023.
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