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AWARE INC /MA/ — Director's Dealing 2011
Apr 7, 2011
34571_dirs_2011-04-07_3d8b1fe3-b03a-4a86-afae-f3b6c023bcd5.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: AWARE INC /MA/ (AWRE)
CIK: 0001015739
Period of Report: 2011-04-01
Reporting Person: Russell Kevin Thomas (Interim co-CE0 and co-Pres.)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 9755 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Unrestricted Stock Award | $0 | 2021-01-03 | Common Stock (5625) | Direct | |
| Stock Option | $3.77 | 2018-02-20 | Common Stock (30000) | Direct | |
| Stock Option | $4.64 | 2017-12-05 | Common Stock (12000) | Direct | |
| Stock Option | $5.05 | 2013-12-04 | Common Stock (12000) | Direct | |
| Stock Option | $2.95 | 2014-09-08 | Common Stock (15000) | Direct | |
| Stock Option | $3.27 | 2013-10-14 | Common Stock (11750) | Direct | |
| Stock Option | $3.27 | 2013-10-14 | Common Stock (7500) | Direct | |
| Stock Option | $3.27 | 2013-10-14 | Common Stock (5000) | Direct |
Footnotes
F1: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 1,875 shares on June 30, 2011, 1,875 shares on December 31, 2011, and 1,875 shares on June 30, 2012 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.
F2: Vests in 20 equal quarterly installments on the last day of each quarter from March 31, 2008 through December 31, 2012.
F3: Vests in 16 equal quarterly installments on the last day of each quarter from December 31, 2007 through September 30, 2011.
F4: Vests in 16 equal quarterly installments on the last day of each quarter from December 31, 2006 through September 30, 2010.
F5: 50% vests on September 8, 2004, the remaining 50% vests in 8 equal quarterly installments on the last day of each quarter from December 31, 2004 through September 30, 2006.
F6: 75% vests on October 14, 2003, the remaining 25% vests in 4 equal quarterly installments of 6.25%, until fully vested.
F7: 50% vests on October 14, 2003, the remaining 50% vests in 8 equal quarterly installments of 6.25%, until fully vested.
F8: 25% vests on October 14, 2003, the remaining 75% vests in 12 equal quarterly installments of 6.25%, until fully vested.