0001179110-16-031145.txt : 20161103
0001179110-16-031145.hdr.sgml : 20161103
20161103162429
ACCESSION NUMBER: 0001179110-16-031145
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161101
FILED AS OF DATE: 20161103
DATE AS OF CHANGE: 20161103
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AWARE INC /MA/
CENTRAL INDEX KEY: 0001015739
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 042911026
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 40 MIDDLESEX TURNPIKE
CITY: BEDFORD
STATE: MA
ZIP: 01730
BUSINESS PHONE: 6172764000
MAIL ADDRESS:
STREET 1: 40 MIDDLESEX TURNPIKE
CITY: BEDFORD
STATE: MA
ZIP: 01730
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Stafford Susan Yang
CENTRAL INDEX KEY: 0001496364
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21129
FILM NUMBER: 161971950
MAIL ADDRESS:
STREET 1: C/O RONIN CAPITAL, LLC
STREET 2: 230 S. LASALLE ST. SUITE 400
CITY: CHICAGO
STATE: IL
ZIP: 60604
FORMER NAME:
FORMER CONFORMED NAME: Stafford Susan Young
DATE OF NAME CHANGE: 20100712
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STAFFORD JOHN S JR
CENTRAL INDEX KEY: 0001034005
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21129
FILM NUMBER: 161971951
MAIL ADDRESS:
STREET 1: C/O STAFFORD TRADING
STREET 2: 230 S LASALLE ST SUITE 688
CITY: CHICAGO
STATE: IL
ZIP: 60604
4
1
edgar.xml
FORM 4 -
X0306
4
2016-11-01
0
0001015739
AWARE INC /MA/
AWRE
0001034005
STAFFORD JOHN S JR
350 N. ORLEANS STREET
SUITE 2N
CHICAGO
IL
60654-1975
1
0
0
0
0001496364
Stafford Susan Yang
C/O RONIN CAPITAL, LLC
350 N. ORLEANS STREET, SUITE 2N
CHICAGO
IL
60654-1975
0
0
1
0
Common Stock
2016-11-01
4
P
0
286671
5.225
A
321671
D
Common Stock
2016-11-01
5
G
0
E
286671
0
D
35000
D
Common Stock
2016-11-01
5
G
0
E
286671
0
A
286671
I
By Revocable Trust
Common Stock
275899
I
By Proxy
On November 1, 2016 John R. Stafford, Jr. and his spouse Susan Yang Stafford engaged in a series of private transactions for estate planning purposes with members of their immediate family and trusts controlled by them that resulted in the acquisition of 286,671 shares of common stock (the "Shares") of Aware, Inc. (the "Company") beneficially owned by a family trust (the "Family Trust"). In consideration of the Shares, Mr. & Mrs. Stafford contributed to the Family Trust cash consideration for the Shares based on the then fair market value of the shares.
Represents the average of the high and low prices for the Shares as reported on the Nasdaq Global Market on October 31, 2016.
On November 1, 2016, the Shares acquired by Mr. & Mrs. Stafford from the Family Trust were gifted to a revocable trust of Mr. Stafford (the "Revocable Trust").
Mr. Stafford holds proxies from the holders of 275,899 shares of common stock granting him the exclusive right to vote those shares of common stock. Mr. Stafford does not have the right to dispose of such shares of common stock nor does he have any pecuniary interest in such shares of common stock. Accordingly, pursuant to Rule 13d-4, Mr. Stafford disclaims beneficial ownership of the 275,899 shares of common stock that are the subject of these proxies.
/s/ John S. Stafford, Jr.
2016-11-03
/s/ John S. Stafford, Jr., Attorney-in-fact
2016-11-03