STAFFORD JOHN S III

SEC source: 0001193125-26-294764 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,241,513

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: 0001193125-26-224494 · ownership.xml · nonDerivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,221,954

SEC source: 0001193125-26-224494 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,164,017

SEC source: 0001193125-26-211865 · ownership.xml · nonDerivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,141,542

SEC source: 0001193125-26-211865 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,137,674

SEC source: 0001193125-26-111209 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,121,954

SEC source: 0001193125-26-072342 · ownership.xml · derivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,118

Underlying: Common Stock · 39,118 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 19,559 shares on June 30, 2026, and 19,559 shares on December 31, 2026 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 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 19,559 shares on June 30, 2026, and 19,559 shares on December 31, 2026 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: 0001193125-26-002695 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,105,200

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: 0000950170-25-093246 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,082,884

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: 0000950170-25-039379 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,060,569

SEC source: 0000950170-25-034914 · ownership.xml · derivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,631

Underlying: Common Stock · 44,631 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 22,315 shares on June 30, 2025, and 22,316 shares on December 31, 2025 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 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 22,315 shares on June 30, 2025, and 22,316 shares on December 31, 2025 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: 0000950170-25-001147 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,051,801

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: 0000950170-24-081561 · ownership.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,039,939

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: 0001209191-24-004764 · doc4.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,724

Underlying: Common Stock · 23,724 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 11,862 shares on June 30, 2024, and 11,862 shares on December 31, 2024 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 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 11,862 shares on June 30, 2024, and 11,862 shares on December 31, 2024 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: 0001209191-23-001984 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,028,077

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: 0001209191-22-056366 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,021,844

SEC source: 0001209191-22-056366 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,950,536

SEC source: 0000899243-22-031581 · doc4.xml · nonDerivative · entry 2

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

Ronin Trading, LLC · CIK 0001611042 · 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: 0

F1 · kind: On September 16, 2022, Ronin Trading, LLC transferred all 4,621,368 shares of the issuer's common stock held in John S. Stafford, III's Class C Capital Account at Ronin Trading to Mr. Stafford for no consideration.

F1 · price: On September 16, 2022, Ronin Trading, LLC transferred all 4,621,368 shares of the issuer's common stock held in John S. Stafford, III's Class C Capital Account at Ronin Trading to Mr. Stafford for no consideration.

SEC source: 0000899243-22-031581 · doc4.xml · nonDerivative · entry 1

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

Ronin Trading, LLC · CIK 0001611042 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,726,659

F1 · kind: On September 16, 2022, Ronin Trading, LLC transferred all 4,621,368 shares of the issuer's common stock held in John S. Stafford, III's Class C Capital Account at Ronin Trading to Mr. Stafford for no consideration.

F1 · price: On September 16, 2022, Ronin Trading, LLC transferred all 4,621,368 shares of the issuer's common stock held in John S. Stafford, III's Class C Capital Account at Ronin Trading to Mr. Stafford for no consideration.

SEC source: 0001209191-22-041135 · doc4.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,291

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: 0001209191-22-015881 · doc4.xml · derivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,466

Underlying: Common Stock · 12,466 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; 6,233 shares on June 30, 2022, and 6,233 shares on December 31, 2022 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; 6,233 shares on June 30, 2022, and 6,233 shares on December 31, 2022 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: 0001209191-22-001904 · doc4.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,058

SEC source: 0001209191-21-068507 · doc4.xml · nonDerivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,037

F2 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $2.8744664 to $2.90, inclusive.

SEC source: 0001209191-21-068507 · doc4.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,021

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $3.0481 to $3.15, inclusive. The reporting person undertakes to provide to Aware, Inc., any security holder of Aware, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

SEC source: 0001209191-21-044999 · doc4.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,021

SEC source: 0001209191-21-014773 · doc4.xml · derivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,042

Underlying: Common Stock · 10,042 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under the Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows: 5,021 shares on June 30, 2021, and 5,021 shares on December 31, 2021, provided, in each case, that the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on the applicable date.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under the Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows: 5,021 shares on June 30, 2021, and 5,021 shares on December 31, 2021, provided, in each case, that the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on the applicable date.

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: 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: 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: 0001179110-20-004802 · edgar.xml · nonDerivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 606,005

F2 · kind: The transaction was executed in a single, privately negotiated transaction with an institutional buyer.

F2 · price: The transaction was executed in a single, privately negotiated transaction with an institutional buyer.

SEC source: 0001179110-20-004802 · edgar.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 1,206,005

F1 · price: This transaction was executed in multiple trades at prices ranging from $31.48 to $32.30. 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.

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: 0001179110-20-004078 · 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: Direct

Disclosed balance after: 5,012,430

F2 · price: This transaction was executed in multiple trades at prices ranging from $28.09 to $31.65. 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.

F3 · balance_after: The reported shares of common stock of Xencor, 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 Xencor, Inc. held of record by Ronin.

SEC source: 0001179110-20-004078 · 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: 5,063,200

F1 · price: This transaction was executed in multiple trades at prices ranging from $27.37 to $28.86. 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.

F3 · balance_after: The reported shares of common stock of Xencor, 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 Xencor, Inc. held of record by Ronin.

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: 0001179110-20-000425 · edgar.xml · nonDerivative · entry 3

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 1,250,776

F3 · price: This transaction was executed in multiple trades at prices ranging from $35.94 to $37.18. 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.

SEC source: 0001179110-20-000425 · edgar.xml · nonDerivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 1,311,652

F2 · price: This transaction was executed in multiple trades at prices ranging from $35.84 to $36.11. 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.

SEC source: 0001179110-20-000425 · edgar.xml · nonDerivative · entry 1

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 1,317,699

F1 · price: This transaction was executed in multiple trades at prices ranging from $35.74 to $36.02. 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.

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: 0001179110-19-013159 · edgar.xml · nonDerivative · entry 4

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 1,376,561

F4 · price: This transaction was executed in multiple trades at prices ranging from $39.93 to $40.13. 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.

SEC source: 0001179110-19-013159 · edgar.xml · nonDerivative · entry 3

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 1,380,680

F3 · price: This transaction was executed in multiple trades at prices ranging from $39.07 to $39.82. 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.

SEC source: 0001179110-19-013159 · edgar.xml · nonDerivative · entry 2

STAFFORD JOHN S III · CIK 0001218981 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ronin Trading, LLC

Disclosed balance after: 1,424,400

F2 · price: This transaction was executed in multiple trades at prices ranging from $39.32 to $40.01. 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.