0001179110-19-011917.txt : 20191120 0001179110-19-011917.hdr.sgml : 20191120 20191120165533 ACCESSION NUMBER: 0001179110-19-011917 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191118 FILED AS OF DATE: 20191120 DATE AS OF CHANGE: 20191120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ronin Capital, LLC CENTRAL INDEX KEY: 0001512282 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 191234873 BUSINESS ADDRESS: STREET 1: 350 N. ORLEANS, SUITE 2N CITY: CHICAGO STATE: IL ZIP: 60654 BUSINESS PHONE: 312-244-5284 MAIL ADDRESS: STREET 1: 350 N. ORLEANS, SUITE 2N CITY: CHICAGO STATE: IL ZIP: 60654 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STAFFORD JOHN S III CENTRAL INDEX KEY: 0001218981 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21129 FILM NUMBER: 191234874 MAIL ADDRESS: STREET 1: 230 SOUTH LASALLE STREET 400 CITY: CHICAGO STATE: IL ZIP: 60604 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 4 1 edgar.xml FORM 4 - X0306 4 2019-11-18 0 0001015739 AWARE INC /MA/ AWRE 0001512282 Ronin Capital, LLC 350 N. ORLEANS STREET SUITE 2N CHICAGO IL 60654-1975 0 0 1 0 0001218981 STAFFORD JOHN S III 350 N. ORLEANS STREET SUITE 2N CHICAGO IL 60654-1975 1 0 1 0 Common Stock 2019-11-18 4 P 0 15500 2.9494 A 4572182 D This transaction was executed in multiple trades at prices ranging from $2.93 to $2.95. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. The reported shares of common stock of Aware Inc. are held in a Class C Capital Account of John S. Stafford, III at Ronin Capital, LLC ("Ronin"), a limited liability company owned and managed by Mr. Stafford. Mr. Stafford is the indirect beneficial owner of all of the shares of common stock of Aware Inc. held of record by Ronin. /s/ Agnes Burda, authorized signatory 2019-11-20 /s/ John S. Stafford, III 2019-11-20