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AWARE INC /MA/ — Director's Dealing 2006
Mar 10, 2006
34571_dirs_2006-03-10_3300b994-8f3e-487a-bafc-1977d4581803.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AWARE INC /MA/ (awre)
CIK: 0001015739
Period of Report: 2006-03-08
Reporting Person: EHRETH DAVID (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2006-03-08 | Common Stock | M | 19593 | $2.09 | Acquired | 24593 | Direct |
| 2006-03-08 | Common stock | M | 8125 | $2.95 | Acquired | 32718 | Direct |
| 2006-03-08 | Common stock | S | 1000 | $5.42 | Disposed | 31718 | Direct |
| 2006-03-08 | Common Stock | S | 1000 | $5.43 | Disposed | 30718 | Direct |
| 2006-03-08 | Common Stock | S | 25718 | $5.41 | Disposed | 5000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2006-03-08 | Stock Option (right to buy) | $2.09 | M | 19593 | Acquired | 2013-06-02 | Common stock (19593) | Direct |
| 2006-03-08 | Stock Option (right to buy) | $2.95 | M | 8125 | Acquired | 2014-09-08 | Common stock (8125) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common stock | 5000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock option (right to buy) | $5.58 | 2010-02-22 | Common stock (5000) | 5000 | Direct |
| Stock option (right to buy) | $6.18 | 2015-02-16 | Common stock (10500) | 10500 | Direct |
| Stock option (right to buy) | $3.39 | 2012-07-05 | Common stock (5000) | 5000 | Direct |
| Stock option (right to buy) | $20.375 | 2010-10-18 | Common stock (5000) | 5000 | Direct |
| Stock option (right to buy) | $10.438 | 2008-01-12 | Common stock (41000) | 41000 | Direct |
Footnotes
F1: Vests in 16 equal quarterly installments of 6.25% beginning as of June 30, 2003 until fully vested
F2: 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
F3: Vests in 16 equal quarterly installments on the last day of each quarter from March 31, 2006 through December 31, 2009
F4: Vests in full on February 16, 2005
F5: Vests in 16 equal quarterly installments of 6.25% beginning as of September 30, 2002 until fully vested
F6: Vests in 16 equal quarterly installments of 6.25% beginning as of December 31, 2000 until fully vested
F7: 40% vests on January 1, 2000, the remaining 60% vests 1.666% per month over the next 36 months until fully vested