-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WUWVCyPNzolh9zJtdf9oJhVpEgyzUvNp4iHHExkWK1iU9yCTnRP04mBxKD9QbBI5 TZvF00j8UIYpgCzV6bjX3w== 0001188112-03-000717.txt : 20031016 0001188112-03-000717.hdr.sgml : 20031016 20031016182846 ACCESSION NUMBER: 0001188112-03-000717 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031014 FILED AS OF DATE: 20031016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TZANNES MICHAEL A CENTRAL INDEX KEY: 0001220558 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 03944631 MAIL ADDRESS: STREET 1: C/O AWARE INC STREET 2: 40 MIDDLESEX TRUNPIKE CITY: BEDFORD STATE: MA ZIP: 01730 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AWARE INC /MA/ CENTRAL INDEX KEY: 0001015739 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] 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 t30524d_ex.xml X0201 4 2003-10-14 0 0001015739 AWARE INC /MA/ NASD 0001220558 TZANNES MICHAEL A C/O AWARE INC 40 MIDDLESEX TURNPIKE BEDFORD MA 01730 1 1 0 0 Chief Executive Officer Common Stock 85238 D Stock Option (right to buy) 3.27 2003-10-14 4 A 0 30581 0.00 A 2013-10-14 Common Stock 30581 30581 D Stock Option (right to buy) 3.27 2003-10-14 4 A 0 200670 0.00 A 2013-10-14 Common Stock 200670 200670 D Stock Option (right to buy) 3.27 2003-10-14 4 A 0 18749 0.00 A 2013-10-14 Common Stock 18749 18749 D Stock Option (right to buy) 3.27 2003-10-14 4 A 0 41251 0.00 A 2013-10-14 Common Stock 41251 41251 D Stock Option (right to buy) 3.27 2003-10-14 4 A 0 87501 0.00 A 2013-10-14 Common Stock 87501 87501 D Stock Option (right to buy) 3.27 2003-10-14 4 A 0 75000 0.00 A 2013-10-14 Common Stock 75000 75000 D Includes 1,000 shares acquired under the Aware, Inc. Employee Stock Purchase Plan on June 1, 2003 in a transaction exempt from Section 16(b) under rule 16b-3(c). Vests in full on October 14, 2003. 75% vests on October 14, 2003, the remaining 25% vests in 4 equal quarterly installments of 6.25%, until fully vested. 50% vests on October 14, 2003, the remaining 50% vests in 8 equal quarterly installments of 6.25%, until fully vested. 25% vests on October 14, 2003, the remaining 75% vests in 12 equal quarterly installments of 6.25%, until fully vested. In addition, the reporting person directly owns a stock option (right to buy) to purchase 896 shares of common stock of the issuer at an exercise price of $1.30 per share. According to its terms, this option expires on December 11, 2005 and becomes exercisable as follows: 709 shares vest on January 1, 1996; 709 shares vest each month thereafter through December 1, 1996; 896 shares vest after every month from January 1, 1997 through November 1, 1998; the remaining 884 shares vest on December 11, 1998. Option received by reporting person in exchange for cancellation of one or more options on April 3, 2003 pursuant to issuer's option exchange program. /s/ Michael A. Tzannes 2003-10-16 -----END PRIVACY-ENHANCED MESSAGE-----