Filing Details
- Accession Number:
- 0001209191-22-055482
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-11-03 16:00:10
- Reporting Period:
- 2022-11-02
- Accepted Time:
- 2022-11-03 16:00:10
- 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. 76 Blanchard Road Burlington MA 01803 | 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 | 2022-11-02 | 25,000 | $1.55 | 249,497 | 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 | Unrestricted Stock Award | $0.00 | 20,000 | 20,000 | Direct | ||
| 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 |
|---|---|---|---|
| 20,000 | 20,000 | Direct | |
| 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
- Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person 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.
- 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.
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