Filing Details
- Accession Number:
- 0001209191-22-048784
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-06 16:59:53
- Reporting Period:
- 2022-09-01
- Accepted Time:
- 2022-09-06 16:59:53
- 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. 76 Blanchard Road Burlington MA 01803 | 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 | 2022-09-01 | 4,410 | $2.00 | 54,390 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2022-09-06 | 590 | $2.00 | 54,390 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Stock Option (right to buy) | $4.73 | 2031-02-23 | 250,000 | 250,000 | Direct | |
| Common Stock | Stock Option (right to buy) | $4.50 | 2030-05-04 | 12,500 | 12,500 | Direct | |
| Common Stock | Stock Option (right to buy) | $5.50 | 2030-05-04 | 12,500 | 12,500 | Direct | |
| Common Stock | Stock Option (right to buy) | $6.50 | 2030-05-04 | 12,500 | 12,500 | Direct | |
| Common Stock | Stock Option (right to buy) | $7.50 | 2030-05-04 | 12,500 | 12,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2031-02-23 | 250,000 | 250,000 | Direct |
| 2030-05-04 | 12,500 | 12,500 | Direct |
| 2030-05-04 | 12,500 | 12,500 | Direct |
| 2030-05-04 | 12,500 | 12,500 | Direct |
| 2030-05-04 | 12,500 | 12,500 | 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 July 1, 2020 through June 30, 2024.
Billionaire Hedge Funds
