AWRE

SEC source: 0001104659-21-000446 · tm211536d8_4.xml · nonDerivative · entry 1

Lazzouni Mohamed · CIK 0001320180 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,392

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-21-000445 · tm211536d7_4.xml · nonDerivative · entry 1

Johnstone Brent P · CIK 0001549600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,166

SEC source: 0001104659-21-000444 · tm211536d6_4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001104659-21-000443 · tm211536d5_4.xml · nonDerivative · entry 1

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,280

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-21-000442 · tm211536d4_4.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001104659-21-000440 · tm211536d3_4.xml · nonDerivative · entry 1

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,422

SEC source: 0001104659-21-000439 · tm211536d2_4.xml · nonDerivative · entry 1

Connolly Brian D · CIK 0001539642 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

SEC source: 0001104659-21-000438 · tm211536d1_4.xml · nonDerivative · entry 1

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-128015 · tm2036575d3_4.xml · derivative · entry 7

Lazzouni Mohamed · CIK 0001320180 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued on December 31, 2020 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued on December 31, 2020 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001104659-20-128014 · tm2036575d2_4.xml · nonDerivative · entry 2

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001104659-20-128014 · tm2036575d2_4.xml · nonDerivative · entry 1

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001104659-20-128013 · tm2036575d1_4.xml · nonDerivative · entry 2

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,422

SEC source: 0001104659-20-128013 · tm2036575d1_4.xml · nonDerivative · entry 1

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,422

SEC source: 0001104659-20-113439 · tm2032770d1_4.xml · derivative · entry 3

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 10,000 shares on October 1, 2021, 10,000 shares on October 1, 2022, and 10,000 shares on October 1, 2023 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F2 · derivative.expiration_date: Unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 10,000 shares on October 1, 2021, 10,000 shares on October 1, 2022, and 10,000 shares on October 1, 2023 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001104659-20-113439 · tm2032770d1_4.xml · nonDerivative · entry 1

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,780

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-107928 · tm2031658d1_4.xml · derivative · entry 3

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person as follows: 20,000 shares on September 19, 2021, 20,000 shares on September 19, 2022, and 20,000 shares on September 19, 2023, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F2 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person as follows: 20,000 shares on September 19, 2021, 20,000 shares on September 19, 2022, and 20,000 shares on September 19, 2023, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001104659-20-107928 · tm2031658d1_4.xml · nonDerivative · entry 1

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,422

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-20-009171 · edgar.xml · nonDerivative · entry 3

STAFFORD JOHN S III · CIK 0001218981 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001179110-20-009171 · edgar.xml · nonDerivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,100

SEC source: 0001179110-20-009171 · edgar.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001179110-20-008011 · edgar.xml · derivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On July 1, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 27, 2020 subject to his continued service as a director, officer or employee of the Company.

F1 · price: On July 1, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 27, 2020 subject to his continued service as a director, officer or employee of the Company.

F1 · derivative.exercise_date: On July 1, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 27, 2020 subject to his continued service as a director, officer or employee of the Company.

F1 · derivative.expiration_date: On July 1, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 27, 2020 subject to his continued service as a director, officer or employee of the Company.

SEC source: 0001179110-20-008011 · edgar.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On July 1, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 27, 2020 subject to his continued service as a director, officer or employee of the Company.

F1 · price: On July 1, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 27, 2020 subject to his continued service as a director, officer or employee of the Company.

SEC source: 0001104659-20-080628 · tm2024027d3_4.xml · derivative · entry 3

Lazzouni Mohamed · CIK 0001320180 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080628 · tm2024027d3_4.xml · nonDerivative · entry 2

Lazzouni Mohamed · CIK 0001320180 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,660

SEC source: 0001104659-20-080628 · tm2024027d3_4.xml · nonDerivative · entry 1

Lazzouni Mohamed · CIK 0001320180 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080632 · tm2024027d7_4.xml · derivative · entry 2

Johnstone Brent P · CIK 0001549600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080632 · tm2024027d7_4.xml · nonDerivative · entry 1

Johnstone Brent P · CIK 0001549600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,166

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-080631 · tm2024027d6_4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080631 · tm2024027d6_4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-080630 · tm2024027d5_4.xml · derivative · entry 2

Connolly Brian D · CIK 0001539642 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080630 · tm2024027d5_4.xml · nonDerivative · entry 1

Connolly Brian D · CIK 0001539642 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-080629 · tm2024027d4_4.xml · derivative · entry 2

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080629 · tm2024027d4_4.xml · nonDerivative · entry 1

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,780

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-080627 · tm2024027d2_4.xml · derivative · entry 2

Eckel Robert A · CIK 0001324812 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Award, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Award, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080627 · tm2024027d2_4.xml · nonDerivative · entry 1

Eckel Robert A · CIK 0001324812 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,422

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-080619 · tm2024027d1_4.xml · derivative · entry 2

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080619 · tm2024027d1_4.xml · nonDerivative · entry 1

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-20-007077 · edgar.xml · nonDerivative · entry 2

Ronin Capital, LLC · CIK 0001512282 · 10% owner

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading LLC

Disclosed balance after: 4,621,368

F1 · kind: On June 4, 2020, John S. Stafford, III transferred 4,621,368 shares of the issuer's common stock from his Class C Capital Account at Ronin Capital, LLC to his Class C Capital Account at Ronin Trading, LLC. Mr. Stafford is the owner and manager of both Ronin Capital, LLC and Ronin Trading, LLC and the sole, indirect beneficial owner of all 4,621,368 shares before and after such transfer.

F1 · balance_after: On June 4, 2020, John S. Stafford, III transferred 4,621,368 shares of the issuer's common stock from his Class C Capital Account at Ronin Capital, LLC to his Class C Capital Account at Ronin Trading, LLC. Mr. Stafford is the owner and manager of both Ronin Capital, LLC and Ronin Trading, LLC and the sole, indirect beneficial owner of all 4,621,368 shares before and after such transfer.

SEC source: 0001179110-20-007077 · edgar.xml · nonDerivative · entry 1

Ronin Capital, LLC · CIK 0001512282 · 10% owner

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On June 4, 2020, John S. Stafford, III transferred 4,621,368 shares of the issuer's common stock from his Class C Capital Account at Ronin Capital, LLC to his Class C Capital Account at Ronin Trading, LLC. Mr. Stafford is the owner and manager of both Ronin Capital, LLC and Ronin Trading, LLC and the sole, indirect beneficial owner of all 4,621,368 shares before and after such transfer.

F1 · price: On June 4, 2020, John S. Stafford, III transferred 4,621,368 shares of the issuer's common stock from his Class C Capital Account at Ronin Capital, LLC to his Class C Capital Account at Ronin Trading, LLC. Mr. Stafford is the owner and manager of both Ronin Capital, LLC and Ronin Trading, LLC and the sole, indirect beneficial owner of all 4,621,368 shares before and after such transfer.

SEC source: 0001104659-20-059521 · tm2019283d1_4.xml · nonDerivative · entry 6

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,422

SEC source: 0001104659-20-059521 · tm2019283d1_4.xml · nonDerivative · entry 5

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,222

SEC source: 0001104659-20-059521 · tm2019283d1_4.xml · nonDerivative · entry 4

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,222

SEC source: 0001104659-20-059521 · tm2019283d1_4.xml · nonDerivative · entry 3

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,422

SEC source: 0001104659-20-059521 · tm2019283d1_4.xml · nonDerivative · entry 2

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,893

SEC source: 0001104659-20-059521 · tm2019283d1_4.xml · nonDerivative · entry 1

Eckel Robert A · CIK 0001324812 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,422

SEC source: 0001104659-20-056194 · tm2018529d2_4.xml · derivative · entry 5

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from July 1, 2020 through June 30, 2024.

SEC source: 0001104659-20-056194 · tm2018529d2_4.xml · derivative · entry 4

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from July 1, 2020 through June 30, 2024.

SEC source: 0001104659-20-056194 · tm2018529d2_4.xml · derivative · entry 3

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from July 1, 2020 through June 30, 2024.

SEC source: 0001104659-20-056194 · tm2018529d2_4.xml · derivative · entry 2

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from July 1, 2020 through June 30, 2024.

SEC source: 0001104659-20-056194 · tm2018529d2_4.xml · derivative · entry 1

Barcelo David Brian · CIK 0001810232 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 10,000 shares on June 30, 2020, and 10,000 shares on December 31, 2020 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 10,000 shares on June 30, 2020, and 10,000 shares on December 31, 2020 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.