SEC Form 4 · accession 0001571049-16-016463
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
Jul 1, 2016
Accepted (ET)
Jul 5, 2016 · 1:59 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, 2016 | A | 11,850 | $0.00 | A | 300,395 | 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 | 17,500 | 17,500 | D |
| Stock Appreciation RightF3 | $2.52 | holding | — | — | — | — | May 20, 2019 | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1Shares of unrestricted stock issued to reporting person on July 1, 2016.
- F2Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. 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.
- F3Vests 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.