Filing Details
- Accession Number:
- 0001209191-21-033283
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-05-17 18:20:16
- Reporting Period:
- 2021-05-14
- Accepted Time:
- 2021-05-17 18:20:16
- Original Submission Date:
- 2021-05-17
- 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 & 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 | 2021-05-14 | 10,000 | $3.51 | 153,422 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $4.73 | 2031-02-23 | 1,250,000 | 1,250,000 | 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 |
|---|---|---|---|
| 2031-02-23 | 1,250,000 | 1,250,000 | 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
- Fifty percent of the option will vest on February 24, 2023, with the remainder vesting in 24 equal monthly installments starting on March 24, 2023
- Vests in 16 equal quarterly installments on the last day of each quarter from December 19, 2019 through September 19, 2023.
Billionaire Hedge Funds
