Statement of Changes in Beneficial Ownership (4)
November 20 2020 - 4:47PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Eckel Robert A |
2. Issuer Name and Ticker or Trading Symbol
AWARE INC /MA/
[
AWRE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO and President |
(Last)
(First)
(Middle)
C/O AWARE, INC., 40 MIDDLESEX TURNPIKE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2020 |
(Street)
BEDFORD, MA 01730
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/18/2020 | | P | | 5000 | A | $2.790 | 112422 | D | |
Common Stock | 11/18/2020 | | P | | 5000 | A | $2.789 | 117422 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Unrestricted Stock Award | $0.00 | | | | | | | (1) | (1) | Common Stock | 25000 | | 25000 | D | |
Unrestricted Stock Award | $0.00 | | | | | | | (2) | (2) | Common Stock | 60000 | | 60000 | D | |
Stock Option (right to buy) | $4.50 | | | | | | | (3) | 9/19/2029 | Common Stock | 50000 | | 50000 | D | |
Stock Option (right to buy) | $5.50 | | | | | | | (3) | 9/19/2029 | Common Stock | 50000 | | 50000 | D | |
Stock Option (right to buy) | $6.50 | | | | | | | (3) | 9/19/2029 | Common Stock | 50000 | | 50000 | D | |
Stock Option (right to buy) | $7.50 | | | | | | | (3) | 9/19/2029 | Common Stock | 50000 | | 50000 | D | |
Explanation of Responses: |
(1) | Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Award, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date. |
(2) | Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person as follows: 20,000 shares on September 19, 2021, 20,000 shares on September 19, 2022, and 20,000 shares on September 19, 2023, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates. |
(3) | Vests in 16 equal quarterly installments on the last day of each quarter from December 19, 2019 through September 19, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Eckel Robert A C/O AWARE, INC. 40 MIDDLESEX TURNPIKE BEDFORD, MA 01730 | X |
| CEO and President |
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Signatures
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/s/ Robert A. Eckel | | 11/20/2020 |
**Signature of Reporting Person | Date |
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