SEC Form 4 · accession 0001571049-16-013428
AWARE INC /MA/ · AWRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard P Moberg
Officer — co-CEO& co-President, CFO · Director
Period of report
Mar 28, 2016
Accepted (ET)
Mar 29, 2016 · 3:43 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 | — | — | — | 288,545 | 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 | 35,000 | A | — | — | Common Stock | 35,000 | 35,000 | D |
| Stock Appreciation RightF2 | $2.52 | holding | — | — | — | — | May 20, 2019 | Common Stock | 12,000 | 12,000 | 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; 17,500 shares on June 30, 2016, and 17,500 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 8 equal quarterly installments on the last day of each quarter from June 30, 2009 through March 31, 2011 and is exercisable upon the date the reporting person ceases to be paid by Aware, Inc. for services or expiration, whichever is sooner.