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AWARE INC /MA/ — Director's Dealing 2018
Jan 3, 2018
34571_dirs_2018-01-03_79bbc9a3-1bd0-4ea4-a0da-d16b6b878e5c.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: 2018-01-02
Reporting Person: Ronin Capital, LLC (10% Owner)
Reporting Person: STAFFORD JOHN S III (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-01-02 | Common Stock | M | 5000 | — | Acquired | 3263508 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-01-02 | Unrestricted Stock Award (Right to Acquire) | $0 | M | 5000 | Disposed | Common Stock (5000) | Indirect |
Footnotes
F1: On January 2, 2018, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on February 27, 2017 subject to his continued service as a director, officer or employee of the Company.
F2: The reported shares of common stock of Aware Inc. are held in a Class C Capital Account of John S. Stafford, III at Ronin Capital, LLC ("Ronin"), a limited liability company owned and managed by Mr. Stafford. Mr. Stafford is the indirect beneficial owner of all of the shares of common stock of Aware Inc. held of record by Ronin. The rights to purchase shares, pursuant to the Unrestricted Stock Award were granted to Mr. Stafford.