-----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, HlD/64TLAwFGyJaziMsv1kfMDS1Ck26lo+1vWMohb0p/DoESdkzO7VmLaVvUax9d dYOvfELlUqGYJJ9Gr5yg9g== 0001188112-09-002000.txt : 20090911 0001188112-09-002000.hdr.sgml : 20090911 20090911100739 ACCESSION NUMBER: 0001188112-09-002000 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090909 FILED AS OF DATE: 20090911 DATE AS OF CHANGE: 20090911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KRUSE ADRIAN F CENTRAL INDEX KEY: 0001267265 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 091064330 MAIL ADDRESS: STREET 1: C/O AWARE INC STREET 2: 40 MIDDLESEX TURNPIKE 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 edgar.xml PRIMARY DOCUMENT X0303 4 2009-09-09 0001015739 AWARE INC /MA/ AWRE 0001267265 KRUSE ADRIAN F C/O AWARE INC 40 MIDDLESEX TURNPIKE BEDFORD MA 01730 1 0 0 0 Common Stock 10000 D Stock Appreciation Right 2.52 2019-05-20 Common Stock 6000 6000 D Stock Option (right to buy) 3.44 2018-05-23 Common Stock 37200 37200 D Stock Option (right to buy) 5.06 2017-02-12 Common Stock 27500 27500 D Stock Option (right to buy) 5.58 2010-02-22 Common Stock 12500 12500 D Stock Option (right to buy) 6.18 2015-02-16 Common Stock 20000 20000 D Stock Option (right to buy) 2.95 2014-09-08 Common Stock 10000 10000 D Stock Option (right to buy) 3.27 2013-10-14 Common Stock 25000 25000 D Option was amended on September 9, 2009; the holder shall now have the right to exercise this option within two years after the date of termination of services, but not later than the expiration date of the agreement. Vests in 8 equal quarterly installments on the last day of each quarter from June 30, 2009 through March 31, 2011 and is exercisable upon the date the reporting person ceases to serve on the board of directors of Aware, Inc. or expiration, whichever is sooner. Vests in 8 equal quarterly installments on the last day of each quarter from June 30, 2008 through March 31, 2010. Vests in 16 equal quarterly installments on the last day of each quarter from March 31 2007 through December 31, 2010. Vests in 16 equal quarterly installments on the last day of each quarter from March 31 2006 through December 31, 2009. Vests in full on February 16, 2005. 50% vests on September 8, 2004, the remaining 50% vests in 8 equal quarterly installments of 6.25%, beginning as of December 31, 2004, until fully vested. Option vests in 16 equal quarterly installments of 6.25%, beginning as of December 31, 2003, until fully vested. Option was amended on September 9, 2009; the holder shall now have the right to exercise this option within two years after the date of termination of services, but not later than the expiration date of the agreement. /s/ Adrian F. Kruse 2009-09-09 -----END PRIVACY-ENHANCED MESSAGE-----