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