0001104659-19-071355.txt : 20191210
0001104659-19-071355.hdr.sgml : 20191210
20191210134448
ACCESSION NUMBER: 0001104659-19-071355
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191120
FILED AS OF DATE: 20191210
DATE AS OF CHANGE: 20191210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Eckel Robert A
CENTRAL INDEX KEY: 0001324812
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21129
FILM NUMBER: 191277221
MAIL ADDRESS:
STREET 1: C/O AWARE, INC.
STREET 2: 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/A
1
tm1924906d1_4a.xml
OWNERSHIP DOCUMENT
X0306
4/A
2019-11-20
2019-11-22
0
0001015739
AWARE INC /MA/
AWRE
0001324812
Eckel Robert A
C/O AWARE, INC.
40 MIDDLESEX TURNPIKE
BEDFORD
MA
01730
1
1
0
0
CEO and President
Common Stock
2019-11-20
4
P
0
1300
3.33
A
27186
D
Common Stock
2019-11-20
4
P
0
2000
3.345
A
29186
D
Common Stock
2019-11-20
4
P
0
2000
3.35
A
31186
D
Common Stock
2019-11-20
4
P
0
800
3.345
A
31986
D
Common Stock
2019-11-21
4
P
0
283
3.30
A
32269
D
Common Stock
2019-11-21
4
P
0
153
3.34
A
32422
D
Unrestricted Stock Award
0.00
Common Stock
80000
80000
D
Unrestricted Stock Award
0.00
Common Stock
15000
15000
D
Stock Option (right to buy)
4.50
2029-09-19
Common Stock
50000
50000
D
Stock Option (right to buy)
5.50
2029-09-19
Common Stock
50000
50000
D
Stock Option (right to buy)
6.50
2029-09-19
Common Stock
50000
50000
D
Stock Option (right to buy)
7.50
2029-09-19
Common Stock
50000
50000
D
The original Form 4, filed on November 22, 2019, is being amended by this Form 4 amendment solely to correct an administrative error, which did not report the purchase of 153 shares that occurred on November 21, 2019. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects an increase in the number of shares reported as beneficially owned by the reporting person of 153 shares.
Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 20,000 shares on September 19, 2020, 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.
Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. 15,000 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 December 19, 2019 through September 19, 2023.
/s/ Robert A. Eckel
2019-12-10