Filing Details
- Accession Number:
- 0001104659-19-071355
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2019-12-10 13:44:48
- Reporting Period:
- 2019-11-20
- Accepted Time:
- 2019-12-10 13:44:48
- Original Submission Date:
- 2019-11-22
- 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 | |
Common Stock | Acquisiton | 2019-11-21 | 153 | $3.34 | 32,422 | 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 | |
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
- The original Form 4, filed on November 22, 2019, is being amended by this Form 4 amendment solely to correct an administrative error, which did not report the purchase of 153 shares that occurred on November 21, 2019. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects an increase in the number of shares reported as beneficially owned by the reporting person of 153 shares.
- 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.