SEC Form 4 · accession 0001179110-19-000189
AWARE INC /MA/ · AWRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 2, 2019
Accepted (ET)
Jan 3, 2019 · 3:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001015739
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 2, 2019 | M | 5,000 | $0.00 | A | 3,273,508 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Unrestricted Stock Award (Right to Acquire)F1,F2 | $0.00 | Jan 2, 2019 | M | 5,000 | D | — | — | Common Stock | 5,000 | 5,000 | I |
Explanation of responses
- F1On January 2, 2019, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 20, 2018 subject to his continued service as a director, officer or employee of the Company.
- F2The reported shares of common stock of Aware Inc. are held in a Class C Capital Account of John S. Stafford, III at Ronin Capital, LLC ("Ronin"), a limited liability company owned and managed by Mr. Stafford. Mr. Stafford is the indirect beneficial owner of all of the shares of common stock of Aware Inc. held of record by Ronin. The rights to purchase shares, pursuant to the Unrestricted Stock Award were granted to Mr. Stafford.