AWRE

SEC source: 0001104659-20-128015 · tm2036575d3_4.xml · derivative · entry 6

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 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19. 2020 through November 19, 2023.

SEC source: 0001104659-20-128015 · tm2036575d3_4.xml · derivative · entry 5

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 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19. 2020 through November 19, 2023.

SEC source: 0001104659-20-128015 · tm2036575d3_4.xml · derivative · entry 4

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 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19. 2020 through November 19, 2023.

SEC source: 0001104659-20-128015 · tm2036575d3_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 2030-05-04

F2 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19. 2020 through November 19, 2023.

SEC source: 0001104659-20-128015 · tm2036575d3_4.xml · derivative · entry 2

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

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 · derivative · entry 7

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: 0001104659-20-128014 · tm2036575d2_4.xml · derivative · entry 6

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: 0001104659-20-128014 · tm2036575d2_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: 0001104659-20-128014 · tm2036575d2_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: 0001104659-20-128014 · tm2036575d2_4.xml · derivative · entry 3

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

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: 0001179110-20-004224 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 27, 2020, the reporting person was awarded the right to acquire 10,000 shares of unrestricted common stock which will be issued as follows; 5,000 shares on June 30, 2020, and 5,000 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 · price: On March 27, 2020, the reporting person was awarded the right to acquire 10,000 shares of unrestricted common stock which will be issued as follows; 5,000 shares on June 30, 2020, and 5,000 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.exercise_date: On March 27, 2020, the reporting person was awarded the right to acquire 10,000 shares of unrestricted common stock which will be issued as follows; 5,000 shares on June 30, 2020, and 5,000 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: On March 27, 2020, the reporting person was awarded the right to acquire 10,000 shares of unrestricted common stock which will be issued as follows; 5,000 shares on June 30, 2020, and 5,000 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.

SEC source: 0001104659-20-040932 · tm2014275d6_4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 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; 25,000 shares on June 30, 2020, and 25,000 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; 25,000 shares on June 30, 2020, and 25,000 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.

SEC source: 0001104659-20-040930 · tm2014275d4_4.xml · derivative · entry 2

Connolly Brian D · CIK 0001539642 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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 as follows; 5,000 shares on June 30, 2020, and 5,000 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; 5,000 shares on June 30, 2020, and 5,000 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.

SEC source: 0001104659-20-040931 · tm2014275d5_4.xml · derivative · entry 1

Lazzouni Mohamed · CIK 0001320180 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 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; 12,500 shares on June 30, 2020, and 12,500 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; 12,500 shares on June 30, 2020, and 12,500 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.

SEC source: 0001104659-20-040929 · tm2014275d3_4.xml · derivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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 as follows; 5,000 shares on June 30, 2020, and 5,000 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; 5,000 shares on June 30, 2020, and 5,000 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.

SEC source: 0001104659-20-040928 · tm2014275d2_4.xml · derivative · entry 2

Johnstone Brent P · CIK 0001549600 · Director

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.

SEC source: 0001104659-20-040927 · tm2014275d1_4.xml · derivative · entry 2

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 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; 12,500 shares on June 30, 2020, and 12,500 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; 12,500 shares on June 30, 2020, and 12,500 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.

SEC source: 0001179110-20-003716 · edgar.xml · nonDerivative · entry 3

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,621,368

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.51 to $2.57. 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.

F4 · ownership.direct: 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.

SEC source: 0001179110-20-003716 · edgar.xml · nonDerivative · entry 2

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,600,747

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.62 to $2.70. 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.

F4 · ownership.direct: 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.

SEC source: 0001179110-20-003716 · edgar.xml · nonDerivative · entry 1

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,591,182

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.60 to $2.70. 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.

F4 · ownership.direct: 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.

SEC source: 0001104659-20-000835 · tm201198-5_4.xml · nonDerivative · entry 1

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,280

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001104659-20-000834 · tm201198-4_4.xml · nonDerivative · entry 1

MOBERG RICHARD P · CIK 0001213958 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,890

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001104659-20-000832 · tm201198-2_4.xml · nonDerivative · entry 1

Connolly Brian D · CIK 0001539642 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001179110-20-000222 · edgar.xml · derivative · entry 2

Ronin Capital, LLC · CIK 0001512282 · 10% owner

STAFFORD JOHN S III · CIK 0001218981 · Director · 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

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 January 2, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 25, 2019 subject to his continued service as a director, officer or employee of the Company.

F1 · price: On January 2, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 25, 2019 subject to his continued service as a director, officer or employee of the Company.

F1 · derivative.exercise_date: On January 2, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 25, 2019 subject to his continued service as a director, officer or employee of the Company.

F1 · derivative.expiration_date: On January 2, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 25, 2019 subject to his continued service as a director, officer or employee of the Company.

F2 · balance_after: 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. The rights to purchase shares, pursuant to the Unrestricted Stock Award were granted to Mr. Stafford.

F2 · ownership.direct: 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. The rights to purchase shares, pursuant to the Unrestricted Stock Award were granted to Mr. Stafford.

SEC source: 0001179110-20-000222 · edgar.xml · nonDerivative · entry 1

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,577,182

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 January 2, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 25, 2019 subject to his continued service as a director, officer or employee of the Company.

F1 · price: On January 2, 2020, Mr. Stafford received 5,000 shares of unrestricted common stock, which were previously granted on March 25, 2019 subject to his continued service as a director, officer or employee of the Company.

F2 · ownership.direct: 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. The rights to purchase shares, pursuant to the Unrestricted Stock Award were granted to Mr. Stafford.

SEC source: 0001104659-20-000836 · tm201198-6_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,422

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001104659-20-000838 · tm201198-8_4.xml · nonDerivative · entry 1

Russell Kevin Thomas · CIK 0001517344 · Director · Chief Legal and Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,447

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001104659-20-000833 · tm201198-3_4.xml · nonDerivative · entry 1

KRUSE ADRIAN F · CIK 0001267265 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,401

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001104659-20-000837 · tm201198-7_4.xml · nonDerivative · entry 1

MARTIN DAVID J · CIK 0001266821 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,054

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001104659-20-000831 · tm201198-1_4.xml · nonDerivative · entry 1

Johnstone Brent P · CIK 0001549600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,166

F1 · shares: Shares of unrestricted stock issued to reporting person on January 2, 2020.

SEC source: 0001104659-19-069425 · tm1924396d1_4.xml · nonDerivative · entry 1

Mungovan Robert M · CIK 0001597612 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,780

F1 · shares: Shares acquired under the Aware, Inc. Employee Stock Purchase Plan on December 2, 2019.

SEC source: 0001104659-19-066543 · tm1923737d1_4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,269

SEC source: 0001104659-19-071355 · tm1924906d1_4a.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,422

F1 · shares: The original Form 4, filed on November 22, 2019, is being amended by this Form 4 amendment solely to correct an administrative error, which did not report the purchase of 153 shares that occurred on November 21, 2019. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects an increase in the number of shares reported as beneficially owned by the reporting person of 153 shares.

SEC source: 0001104659-19-071355 · tm1924906d1_4a.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,269

SEC source: 0001104659-19-066543 · tm1923737d1_4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,986

SEC source: 0001104659-19-066543 · tm1923737d1_4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,186

SEC source: 0001104659-19-066543 · tm1923737d1_4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,186

SEC source: 0001104659-19-066543 · tm1923737d1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,186

SEC source: 0001104659-19-071355 · tm1924906d1_4a.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,986

SEC source: 0001104659-19-071355 · tm1924906d1_4a.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,186

SEC source: 0001104659-19-071355 · tm1924906d1_4a.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,186

SEC source: 0001104659-19-071355 · tm1924906d1_4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,186

SEC source: 0001104659-19-065351 · tm1923378d2_4.xml · derivative · entry 4

Lazzouni Mohamed · CIK 0001320180 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 18,750 shares

Expires 2029-11-19

F1 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19, 2020 through November 19, 2023.

SEC source: 0001104659-19-065351 · tm1923378d2_4.xml · derivative · entry 3

Lazzouni Mohamed · CIK 0001320180 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 18,750 shares

Expires 2029-11-19

F1 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19, 2020 through November 19, 2023.

SEC source: 0001104659-19-065351 · tm1923378d2_4.xml · derivative · entry 2

Lazzouni Mohamed · CIK 0001320180 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 18,750 shares

Expires 2029-11-19

F1 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19, 2020 through November 19, 2023.

SEC source: 0001104659-19-065351 · tm1923378d2_4.xml · derivative · entry 1

Lazzouni Mohamed · CIK 0001320180 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 18,750 shares

Expires 2029-11-19

F1 · derivative.exercise_date: Vests in 16 equal quarterly installments on the last day of each quarter from February 19, 2020 through November 19, 2023.

SEC source: 0001179110-19-011917 · edgar.xml · nonDerivative · entry 1

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,572,182

F1 · price: 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.

F2 · ownership.direct: 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.

SEC source: 0001179110-19-011765 · edgar.xml · nonDerivative · entry 3

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,556,682

F4 · price: This transaction was executed in multiple trades at prices ranging from $2.86 to $2.90. 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.

F2 · ownership.direct: 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.

SEC source: 0001179110-19-011765 · edgar.xml · nonDerivative · entry 2

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,550,582

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.85 to $2.86. 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.

F2 · ownership.direct: 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.

SEC source: 0001179110-19-011765 · edgar.xml · nonDerivative · entry 1

Ronin Capital, LLC · CIK 0001512282 · 10% owner

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,550,273

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.86 to $2.87. 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.

F2 · ownership.direct: 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.