|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Appreciation Right | $ 2.52 | 05/20/2009 | A | 12,000 | (1) | 05/20/2019 | Common Stock | 12,000 | $ 0 | 12,000 | D | ||||
Stock Option (right to buy) | $ 3.44 | (2) | 05/23/2018 | Common Stock | 43,200 | 43,200 | D | ||||||||
Stock Option (right to buy) | $ 5.06 | (3) | 02/12/2017 | Common Stock | 75,000 | 75,000 | D | ||||||||
Stock Option (right to buy) | $ 5.58 | (4) | 02/22/2010 | Common Stock | 40,000 | 40,000 | D | ||||||||
Stock Option (right to buy) | $ 6.07 | (5) | 02/09/2015 | Common Stock | 10,399 | 10,399 | D | ||||||||
Stock Option (right to buy) | $ 6.07 | (5) | 02/09/2015 | Common Stock | 32,101 | 32,101 | D | ||||||||
Stock Option (right to buy) | $ 2.95 | (6) | 09/08/2014 | Common Stock | 50,000 | 50,000 | D | ||||||||
Stock Option (right to buy) | $ 3.27 | (7) | 10/14/2013 | Common Stock | 30,581 (11) | 30,581 | D | ||||||||
Stock Option (right to buy) | $ 3.27 | (7) | 10/14/2013 | Common Stock | 25,919 (11) | 25,919 | D | ||||||||
Stock Option (right to buy) | $ 3.27 | (8) | 10/14/2013 | Common Stock | 37,500 (11) | 37,500 | D | ||||||||
Stock Option (right to buy) | $ 3.27 | (9) | 10/14/2013 | Common Stock | 57,501 (11) | 57,501 | D | ||||||||
Stock Option (right to buy) | $ 3.27 | (10) | 10/14/2013 | Common Stock | 50,000 (11) | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GROSS RICHARD W C/O AWARE INC 40 MIDDLESEX TURNPIKE BEDFORD, MA 01730 |
Senior VP - Engineering |
/s/ Richard W. Gross | 05/22/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Vests in 8 equal quarterly installments on the last day of each quarter from June 30, 2009 through March 31, 2011 and is exercisable upon the date the reporting person ceases to be paid by Aware, Inc. for services or expiration, whichever is sooner. |
(2) | Vests in 16 equal quarterly installments on the last day of each quarter from June 30, 2008 through March 31, 2012. |
(3) | Vests in 16 equal quarterly installments on the last day of each quarter from March 31 2007 through December 31, 2010. |
(4) | Vests in 16 equal quarterly installments on the last day of each quarter from March 31 2006 through December 31, 2009. |
(5) | Vests in full on February 9, 2005. |
(6) | 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. |
(7) | Vests in full on October 14, 2003. |
(8) | 75% vests on October 14, 2003, the remaining 25% vests in 4 equal quarterly installments of 6.25%, until fully vested. |
(9) | 50% vests on October 14, 2003, the remaining 50% vests in 8 equal quarterly installments of 6.25%, until fully vested. |
(10) | 25% vests on October 14, 2003, the remaining 75% vests in 12 equal quarterly installments of 6.25%, until fully vested. |
(11) | Option received by reporting person in exchange for cancellation of one or more options on April 3, 2003 pursuant to issuer's option exchange program. |