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AWARE INC /MA/ — Director's Dealing 2013
Jul 1, 2013
34571_dirs_2013-07-01_afc19256-b887-4db4-9777-308170777884.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: 2013-07-01
Reporting Person: Russell Kevin Thomas (Director, co-CEO & co-President, GC)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-01 | Common Stock | A | 8535 | — | Acquired | 91221 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Unrestricted Stock Award | $0 | Common Stock (12500) | 12500 | Direct | |
| Stock Option (right to buy) | $4.64 | 2017-12-05 | Common Stock (12000) | 12000 | Direct |
| Stock Option (right to buy) | $5.05 | 2013-12-04 | Common Stock (12000) | 12000 | Direct |
Footnotes
F1: Shares of unrestricted stock issued to reporting person on July 1, 2013.
F2: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. 12,500 shares will be issued on December 31, 2013 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.
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.