0001179110-16-017344.txt : 20160106 0001179110-16-017344.hdr.sgml : 20160106 20160106124630 ACCESSION NUMBER: 0001179110-16-017344 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160104 FILED AS OF DATE: 20160106 DATE AS OF CHANGE: 20160106 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STAFFORD JOHN S III CENTRAL INDEX KEY: 0001218981 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 161326036 MAIL ADDRESS: STREET 1: 230 SOUTH LASALLE STREET 400 CITY: CHICAGO STATE: IL ZIP: 60604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ronin Capital, LLC CENTRAL INDEX KEY: 0001512282 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 161326037 BUSINESS ADDRESS: STREET 1: 350 N. ORLEANS, SUITE 2N CITY: CHICAGO STATE: IL ZIP: 60654 BUSINESS PHONE: 312-244-5284 MAIL ADDRESS: STREET 1: 350 N. ORLEANS, SUITE 2N CITY: CHICAGO STATE: IL ZIP: 60654 4 1 edgar.xml FORM 4 - X0306 4 2016-01-04 0 0001015739 AWARE INC /MA/ AWRE 0001512282 Ronin Capital, LLC 350 N. ORLEANS STREET SUITE 2N CHICAGO IL 60654-1975 0 0 1 0 0001218981 STAFFORD JOHN S III 350 N. ORLEANS STREET SUITE 2N CHICAGO IL 60654-1975 1 0 1 0 Common Stock 2016-01-04 4 M 0 5000 0 A 3243508 D Unrestricted Stock Award (Right to Acquire) 0 2016-01-04 4 M 0 5000 0 D Common Stock 5000 0 I See Footnote On January 4, 2016, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 26, 2015 subject to his continued service as a director, officer or employee of the Company. The reported shares of common stock of Aware Inc. are held in a Class C Capital Account of John S. Stafford, III at Ronin Capital, LLC ("Ronin"), a limited liability company owned and managed by Mr. Stafford. Mr. Stafford is the indirect beneficial owner of all of the shares of common stock of Aware Inc. held of record by Ronin. The rights to purchase shares, pursuant to the Unrestricted Stock Award were granted to Mr. Stafford. /s/ Agnes Burda, authorized signatory 2016-01-06 /s/ John S. Stafford, III 2016-01-06