-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OoTf+tGKkxCKPTax4IGvepLm+3yE3bToZSaqaztur2mCV0CNoHiYNihCfPxhcWm2 /dVgouLXMqfI5olbaffsJw== 0000950135-98-000772.txt : 19980217 0000950135-98-000772.hdr.sgml : 19980217 ACCESSION NUMBER: 0000950135-98-000772 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AWARE INC /MA/ CENTRAL INDEX KEY: 0001015739 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 042911026 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-50139 FILM NUMBER: 98532935 BUSINESS ADDRESS: STREET 1: ONE OAK PARK CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 6172764000 MAIL ADDRESS: STREET 1: ONE OAK PARK CITY: BEDFORD STATE: MA ZIP: 01730 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STAFFORD JR JOHN SPRINGS CENTRAL INDEX KEY: 0000093218 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 241546642 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 230 S. LASALLE #688 CITY: CHICAGO STATE: IL ZIP: 606041408 BUSINESS PHONE: 3122942232 MAIL ADDRESS: STREET 1: 230 S. LASALLE #688 CITY: CHICAGO STATE: IL ZIP: 606041408 SC 13G/A 1 AWARE, INC. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)(1) Aware, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 05453N 10 0 - -------------------------------------------------------------------------------- (CUSIP Number) - -------- (1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 2 CUSIP No.05453N 10 0 13G PAGE 2 - ------------------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS John S. Stafford, Jr. - ------------------------------------------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ] (b) [ ] - ------------------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------------------------------------------------------ 5 SOLE VOTING POWER 1,750,743 ------------------------------------------------------------------------------------------ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ------------------------------------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 1,750,743 WITH ------------------------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,750,743 - ------------------------------------------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.9 - ----------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT! 3 13G PAGE 3 Item 1: (a) Name of Issuer: Aware, Inc. (b) Address of Issuer's Principal Executive Offices: 40 Middlesex Turnpike Bedford, MA 01730 Item 2: (a) Name of Persons Filing: John S. Stafford, Jr. (b) Address of Principal Business Office or, if None, Residence: 401 S. LaSalle Street Suite 1502 Chicago, IL 60605 (c) Citizenship: U.S.A. (d) Title of Class of Securities: Common Stock, $0.01 par value per share (e) CUSIP Number: 05453N 10 0 Item 3: IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under Section 15 of the Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Act; (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act; (d) [ ] Investment Company registered under Section 8 of the Investment Company Act; (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940; (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); (h) [ ] Group, in accordance with Rule 13d-1(b)(l)(ii)(H). Item 4: OWNERSHIP. (See Note A) (a) Amount beneficially owned: COMMON STOCK ------------ 1,750,743 (b) Percent of class: PERCENTAGE ---------- 8.9% (c) Number of shares as to which such person has: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: COMMON STOCK ------------ 1,750,743 (ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE: 0 (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: COMMON STOCK ------------ 1,750,743 (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: 0 Item 5: OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not Applicable ITEM 6: OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable
4 13G PAGE 4 Item 7: Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Not Applicable Item 8: Identification and Classification of Members of the Group: Not Applicable Item 9: Notice of Dissolution of Group: Not Applicable Item 10: Certification: Not Applicable
SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement with respect to it is true, complete and correct. Date: February 11, 1998 By: /s/ John S. Stafford, Jr. --------------------------------
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