Filing Details
- Accession Number:
- 0001104659-20-128014
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-20 16:46:36
- Reporting Period:
- 2020-11-18
- Accepted Time:
- 2020-11-20 16:46:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1810232 | Brian David Barcelo | C/O Aware Inc 40 Middlesex Turnpike Bedford MA 01730 | Chief Financial Officer | No | 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 | 2020-11-18 | 5,000 | $2.65 | 5,000 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2020-11-18 | 10,000 | $2.79 | 10,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Unrestricted Stock Award | Acquisiton | 2020-05-04 | 10,000 | $0.00 | 10,000 | $0.00 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2020-05-04 | 12,500 | $0.00 | 12,500 | $4.50 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2020-05-04 | 12,500 | $0.00 | 12,500 | $5.50 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2020-05-04 | 12,500 | $0.00 | 12,500 | $6.50 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2020-05-04 | 12,500 | $0.00 | 12,500 | $7.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | No | 4 | A | Direct | ||
| 12,500 | 2030-05-04 | No | 4 | A | Direct | |
| 12,500 | 2030-05-04 | No | 4 | A | Direct | |
| 12,500 | 2030-05-04 | No | 4 | A | Direct | |
| 12,500 | 2030-05-04 | No | 4 | A | Direct |
Footnotes
- Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued on December 31, 2020 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.
- Vests in 16 equal quarterly installments on the last day of each quarter from July 1, 2020 through June 30, 2024.
Billionaire Hedge Funds
