0001104659-19-069425.txt : 20191203 0001104659-19-069425.hdr.sgml : 20191203 20191203144255 ACCESSION NUMBER: 0001104659-19-069425 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191202 FILED AS OF DATE: 20191203 DATE AS OF CHANGE: 20191203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mungovan Robert M CENTRAL INDEX KEY: 0001597612 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 191265423 MAIL ADDRESS: STREET 1: 40 MIDDLESEX TURNPIKE CITY: BEDFORD STATE: MA ZIP: 01730 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AWARE INC /MA/ CENTRAL INDEX KEY: 0001015739 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042911026 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 40 MIDDLESEX TURNPIKE CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 6172764000 MAIL ADDRESS: STREET 1: 40 MIDDLESEX TURNPIKE CITY: BEDFORD STATE: MA ZIP: 01730 4 1 tm1924396d1_4.xml OWNERSHIP DOCUMENT X0306 4 2019-12-02 0 0001015739 AWARE INC /MA/ AWRE 0001597612 Mungovan Robert M C/O AWARE INC 40 MIDDLESEX TURNPIKE BEDFORD MA 01730 0 1 0 0 Chief Commercial Officer Common Stock 2019-12-02 4 A 0 1000 3.211 A 93780 D Unrestricted Stock Award 0.00 Common Stock 40000 40000 D Unrestricted Stock Award 0.00 Common Stock 7500 7500 D Stock Option (right to buy) 4.50 2029-10-01 Common Stock 25000 25000 D Stock Option (right to buy) 5.50 2029-10-01 Common Stock 25000 25000 D Stock Option (right to buy) 6.50 2029-10-01 Common Stock 25000 25000 D Stock Option (right to buy) 7.50 2029-10-01 Common Stock 25000 25000 D Shares acquired under the Aware, Inc. Employee Stock Purchase Plan on December 2, 2019. Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 10,000 shares on October 1, 2020, 10,000 shares on October 1, 2021, 10,000 shares on Ovtober 1, 2022, and 10,000 shares on October 1, 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. Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. 7,500 shares will be issued on December 31, 2019 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date. Vests in 16 equal quarterly installments on the last day of each quarter from January 1, 2020 through October 1, 2023. /s/ Robert M. Mungovan 2019-12-03