0001104659-20-059521.txt : 20200511 0001104659-20-059521.hdr.sgml : 20200511 20200511160538 ACCESSION NUMBER: 0001104659-20-059521 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200507 FILED AS OF DATE: 20200511 DATE AS OF CHANGE: 20200511 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Eckel Robert A CENTRAL INDEX KEY: 0001324812 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 20864746 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 1 tm2019283d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-05-07 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 2020-05-07 4 P 0 5000 2.619 A 52422 D Common Stock 2020-05-07 4 P 0 4471 2.620 A 56893 D Common Stock 2020-05-07 4 P 0 529 2.744 A 57422 D Common Stock 2020-05-08 4 P 0 2800 2.737 A 60222 D Common Stock 2020-05-08 4 P 0 2000 2.698 A 62222 D Common Stock 2020-05-08 4 P 0 200 2.720 A 62422 D Unrestricted Stock Award 0.00 Common Stock 50000 50000 D Unrestricted Stock Award 0.00 Common Stock 80000 80000 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 Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 25,000 shares on June 30, 2020, and 25,000 shares 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 dates. 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. 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 2020-05-11