SEC Form 4 · accession 0001571049-15-005463
AWARE INC /MA/ · AWRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brent P Johnstone
Director
Period of report
Jul 1, 2015
Accepted (ET)
Jul 2, 2015 · 2:04 pm EDT
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 | Jul 1, 2015 | A | 5,000 | $0.00 | A | 29,166 | 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 AwardF2 | $0.00 | holding | — | — | — | — | — | Common Stock | 5,000 | 5,000 | D |
| Stock Option (right to buy)F3 | $6.10 | holding | — | — | — | — | May 9, 2017 | Common Stock | 20,834 | 20,834 | D |
Explanation of responses
- F1Shares of unrestricted stock issued to reporting person on July 1, 2015.
- F2Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. 5,000 shares on December 31, 2015 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.
- F3Vests in 12 substantially equal quarterly installments on the last day of each quarter from June 30, 2012 to March 31, 2015.