Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AWARE INC /MA/AWRE · Entity 7524 | 10% owner | November 01, 2016 | November 03, 2016 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AWARE INC /MA/
Report date November 01, 2016 · Filed November 03, 2016
Jointly reported with STAFFORD JOHN S JR
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 321,671 |
Reported balance
After 2016-11-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-11-01 · Purchase · Acquired 286,671 · Balance 321,671 F1: 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. F2: Represents the average of the high and low prices for the Shares as reported on the Nasdaq Global Market on October 31, 2016. |
| Common StockSEC Table I · non-derivative | Direct | 35,000 |
Reported balance
After 2016-11-01 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2016-11-01 · Gift · Disposed 286,671 · Balance 35,000 F3: 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"). |
| Common StockSEC Table I · non-derivative | IndirectBy Revocable Trust | 286,671 |
Reported balance
After 2016-11-01 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2016-11-01 · Gift · Acquired 286,671 · Balance 286,671 F3: 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"). |
| Common StockSEC Table I · non-derivative | IndirectBy Proxy | 275,899 |
Reported balance
Holding disclosure · report date 2016-11-01 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 275,899 F4: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Represents the average of the high and low prices for the Shares as reported on the Nasdaq Global Market on October 31, 2016.
F3: 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").
F4: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 01, 2016 Filed Nov 3, 2016 20:24 UTC | AWARE INC /MA/ AWRE · Entity 7524 | GiftCommon Stock | 286,671 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-031145 · edgar.xml · nonDerivative · entry 3 STAFFORD JOHN S JR · CIK 0001034005 · Director Stafford Susan Yang · CIK 0001496364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 286,671 F3 · kind: 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"). F3 · price: 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"). Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 20:24 UTC | AWARE INC /MA/ AWRE · Entity 7524 | GiftCommon Stock | 286,671 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-031145 · edgar.xml · nonDerivative · entry 2 STAFFORD JOHN S JR · CIK 0001034005 · Director Stafford Susan Yang · CIK 0001496364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F3 · kind: 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"). F3 · price: 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"). Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 20:24 UTC | AWARE INC /MA/ AWRE · Entity 7524 | PurchaseCommon Stock | 286,671 | $5.23 | $1,497,855.98 |
DisclosureSEC source: 0001179110-16-031145 · edgar.xml · nonDerivative · entry 1 STAFFORD JOHN S JR · CIK 0001034005 · Director Stafford Susan Yang · CIK 0001496364 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,671 F1 · kind: 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. F2 · price: Represents the average of the high and low prices for the Shares as reported on the Nasdaq Global Market on October 31, 2016. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.