In a new filing with the Securities and Exchange Commission, Dov Gertzulin‘s DG Capital Management has revealed its passive stake in Aware, Inc. (NASDAQ:AWRE). According to the filing, DG currently owns over 1.97 million shares of Aware, which represent 8.6% of the company’s common stock. DG disclosed holding 2.03 million shares of Aware in its 13F filing for the third quarter of 2015.
You can access the original SEC filing by clicking here.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
Aware, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
05453N100
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(CUSIP Number)
December 31, 2015
————————————————————-
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person’s
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be “filed” for the purpose of Section 18 of the Securities Exchange Act of
1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
PAGE 1 OF 7 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
DG Capital Management, LLC
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(b) [X]
——————————————————————————–
3 SEC USE ONLY
——————————————————————————–
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, USA
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5 SOLE VOTING POWER
0
NUMBER OF ———————————————————–
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,974,676*
EACH ———————————————————–
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 0
———————————————————–
8 SHARED DISPOSITIVE POWER
1,974,676*
——————————————————————————–
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,974,676*
——————————————————————————–
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
——————————————————————————–
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.6%
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12 TYPE OF REPORTING PERSON*
IA (Investment Adviser)
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