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
  1. 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.
  2. 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.
  3. 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.
  4. Vests in 16 equal quarterly installments on the last day of each quarter from December 19, 2019 through September 19, 2023.