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AWARE INC /MA/ — Director's Dealing 2021
Jan 4, 2021
34571_dirs_2021-01-04_1573a245-81b1-4675-83c7-52365dc319a1.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: 2020-12-31
Reporting Person: Eckel Robert A (Director, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-12-31 | Common Stock | A | 25000 | — | Acquired | 144422 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Unrestricted Stock Award | $0.00 | Common Stock (60000) | 60000 | Direct | |
| Stock Option (right to buy) | $4.50 | 2029-09-19 | Common Stock (50000) | 50000 | Direct |
| Stock Option (right to buy) | $5.50 | 2029-09-19 | Common Stock (50000) | 50000 | Direct |
| Stock Option (right to buy) | $6.50 | 2029-09-19 | Common Stock (50000) | 50000 | Direct |
| Stock Option (right to buy) | $7.50 | 2029-09-19 | Common Stock (50000) | 50000 | Direct |
Footnotes
F1: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person as follows: 20,000 shares on September 19, 2021, 20,000 shares on September 19, 2022, and 20,000 shares on September 19, 2023, 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 16 equal quarterly installments on the last day of each quarter from December 19, 2019 through September 19, 2023.