0001179110-17-000072.txt : 20170103
0001179110-17-000072.hdr.sgml : 20170103
20170103163101
ACCESSION NUMBER: 0001179110-17-000072
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170103
FILED AS OF DATE: 20170103
DATE AS OF CHANGE: 20170103
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 JR
CENTRAL INDEX KEY: 0001034005
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21129
FILM NUMBER: 17502164
MAIL ADDRESS:
STREET 1: C/O STAFFORD TRADING
STREET 2: 230 S LASALLE ST SUITE 688
CITY: CHICAGO
STATE: IL
ZIP: 60604
4
1
edgar.xml
FORM 4 -
X0306
4
2017-01-03
0
0001015739
AWARE INC /MA/
AWRE
0001034005
STAFFORD JOHN S JR
350 N. ORLEANS STREET
SUITE 2N
CHICAGO
IL
60654-1975
1
0
0
0
Common Stock
2016-11-01
5
G
0
E
35000
0
D
0
D
Common Stock
2016-11-01
5
G
0
E
35000
0
A
321671
I
By Revocable Trust
Common Stock
2017-01-03
4
M
0
5000
0
A
5000
D
Common Stock
2017-01-03
5
G
0
E
5000
0
D
0
D
Common Stock
2017-01-03
5
G
0
E
5000
0
A
326671
I
By Revocable Trust
Common Stock
275899
I
By Proxy
Unrestricted Stock Award (Right to Acquire)
0
2017-01-03
4
M
0
5000
0
D
Common Stock
5000
0
D
On November 1, 2016, the reporting person gifted 35,000 shares of common stock to a revocable trust controlled by the reporting person.
On January 3, 2017, the reporting person received 5,000 shares of unrestricted common stock, which were previously granted on March 28, 2016 subject to his continued service as a director, officer or employee of the Company.
On January 3, 2017, the reporting person gifted 5,000 shares of common stock to a revocable trust controlled by the reporting person.
The reporting person has obtained proxies from the holders of 275,899 shares of common stock granting him the exclusive right to vote those shares of common stock. The reporting person does not have the right to dispose of such shares of common stock nor does he have any pecuniary interest in such shares of common stock. Accordingly, pursuant to Rule 13d-4, the reporting person disclaims beneficial ownership of the 275,899 shares of common stock that are the subject of these proxies.
/s/ John S. Stafford, Jr.
2017-01-03