SEC Form 4 · accession 0001571049-17-002170
AWARE INC /MA/ · AWRE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard P Moberg
Director
Period of report
Mar 9, 2017
Accepted (ET)
Mar 9, 2017 · 4:20 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 Stock | Mar 9, 2017 | D | 210,000 | $4.36 | D | 101,305 | 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 | holding | — | — | — | — | — | Common Stock | 10,000 | 10,000 | 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; 5,000 shares on June 30, 2017, and 5,000 shares on December 31, 2017 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.