0001179110-19-011496.txt : 20191106
0001179110-19-011496.hdr.sgml : 20191106
20191106170540
ACCESSION NUMBER: 0001179110-19-011496
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191104
FILED AS OF DATE: 20191106
DATE AS OF CHANGE: 20191106
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: 191197140
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
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: 191197141
MAIL ADDRESS:
STREET 1: 230 SOUTH LASALLE STREET 400
CITY: CHICAGO
STATE: IL
ZIP: 60604
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
edgar.xml
FORM 4 -
X0306
4
2019-11-04
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
2019-11-04
4
P
0
100
2.75
A
4516660
D
Common Stock
2019-11-05
4
P
0
1600
2.8137
A
4518260
D
Common Stock
2019-11-06
4
P
0
300
2.83
A
4518560
D
This transaction was executed in multiple trades at prices ranging from $2.79 to $2.83. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
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.
/s/ Agnes Burda, authorized signatory
2019-11-06
/s/ John S. Stafford, III
2019-11-06