KERR JOHN K 4

Accession 0001188112-11-001394

CIK 0001015739other

Filed

May 12, 8:00 PM ET

Accepted

May 13, 11:45 AM ET

Size

22.8 KB

Accession

0001188112-11-001394

Form 4

Period: 2011-05-12

Director

Transactions

Exercise/Conversion
Common Stock
2011-05-12$2.09/sh+40,750$85,168→ 712,746 total
Exercise/Conversion
Common Stock
2011-05-12$2.95/sh+15,000$44,250→ 727,746 total
Exercise/Conversion
Stock Option (right to buy)
2011-05-12$2.95/sh−15,000$44,250→ 0 total
Exercise: $2.95Exp: 2014-09-08→ Common Stock (15,000 underlying)
Exercise/Conversion
Stock Option (right to buy)
2011-05-12$2.09/sh−40,750$85,168→ 0 total
Exercise: $2.09Exp: 2013-06-02→ Common Stock (40,750 underlying)

Holdings

Stock Appreciation Right
Exercise: $2.52Exp: 2019-05-20→ Common Stock (6,000 underlying)
6,000
Stock Option (right to buy)
Exercise: $3.44Exp: 2018-05-23→ Common Stock (47,500 underlying)
47,500
Stock Option (right to buy)
Exercise: $5.06Exp: 2017-02-12→ Common Stock (36,500 underlying)
36,500
Stock Option (right to buy)
Exercise: $6.18Exp: 2015-02-16→ Common Stock (27,500 underlying)
27,500
Stock Option (right to buy)
Exercise: $3.39Exp: 2012-07-05→ Common Stock (10,000 underlying)
10,000
Stock Option (right to buy)
Exercise: $3.74Exp: 2011-09-21→ Common Stock (10,000 underlying)
10,000
Stock Option (right to buy)
Exercise: $7.42Exp: 2011-07-19→ Common Stock (10,000 underlying)
10,000
Stock Option (right to buy)
Exercise: $8.07Exp: 2011-05-17→ Common Stock (10,000 underlying)
10,000

Footnotes (11)

[F1]Option was amended on September 9, 2009; the holder shall now have the right to exercise this option within two years after the date of termination of services, but not later than the expiration date of the agreement.
[F10]25% vests on July 19, 2001, the remaining 75% vests in 12 equal quarterly installments of 6.25%, until fully vested.
[F11]50% vests on July 1, 2001, the remaining 50% vests in 8 equal quarterly installments of 6.25%, until fully vested.
[F2]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 serve on the board of directors of Aware, Inc. or expiration, whichever is sooner.
[F3]Vests in 8 equal quarterly installments on the last day of each quarter from June 30, 2008 through March 31, 2010.
[F4]Vests in 16 equal quarterly installments on the last day of each quarter from March 31, 2007 through December 31, 2010.
[F5]Vests in full on February 16, 2005.
[F6]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.
[F7]Vests in 16 equal quarterly installments of 6.25%, beginning as of June 30, 2003, until fully vested.
[F8]Vests in 16 equal quarterly installments of 6.25%, beginning as of September 30, 2002, until fully vested.
[F9]Vests in 16 equal quarterly installments of 6.25%, beginning as of September 30, 2001, until fully vested.

Documents

1 file

AWARE INC /MA/

CIK 0001015739

Entity typeother