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