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