SEC Form 4 · accession 0001571049-16-013425
AWARE INC /MA/ · AWRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian D Connolly
Director
Period of report
Mar 28, 2016
Accepted (ET)
Mar 29, 2016 · 3:41 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 Stock | holding | — | — | — | 50,832 | 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 AwardF1 | $0.00 | Mar 28, 2016 | A | 10,000 | A | — | — | Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F2 | $3.09 | holding | — | — | — | — | Jan 18, 2017 | Common Stock | 4,168 | 4,168 | D |
Explanation of responses
- F1Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 5,000 shares on June 30, 2016, and 5,000 shares on December 31, 2016 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.
- F2Vests in 12 substantially equal quarterly installments on the last day of each quarter from March 31, 2012 to December 31, 2014.