Aware (NASDAQ: AWRE) director holds 181,448 shares after derivative exercise

Rhea-AI Filing Summary

AWARE INC /MA/ director Peter R. Faubert exercised a derivative security to acquire 21,029 shares of Common Stock. The transaction was reported on a Form 4 as an acquisition, not an open-market purchase or sale. After the exercise, he directly owns 181,448 Aware shares.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Faubert Peter R.

Role null

Type	Security	Shares	Price	Value
Exercise	Common Stock	21,029	$0.00	--

Holdings After Transaction: Common Stock — 181,448 shares (Direct, null)

Footnotes (1)

Key Figures

Shares acquired via exercise: 21,029 shares Price per share on exercise: $0.00 per share Direct holdings after transaction: 181,448 shares

3 metrics

Shares acquired via exercise 21,029 shares Exercise or conversion of derivative security on Common Stock

Price per share on exercise $0.00 per share Reported transaction price for exercised derivative into Common Stock

Direct holdings after transaction 181,448 shares Total Common Stock directly owned by Peter R. Faubert after exercise

Key Terms

Form 4, Exercise or conversion of derivative security, Common Stock, direct ownership

4 terms

Form 4 regulatory

"The transaction was reported on a Form 4 as an acquisition"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Exercise or conversion of derivative security financial

"transaction_code_description: Exercise or conversion of derivative security"

Common Stock financial

"to acquire 21,029 shares of Common Stock"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

direct ownership financial

"After the exercise, he directly owns 181,448 Aware shares"

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/02/2026 - 04:39 PM Accepted by SEC EDGAR 07/02/2026 - 04:39 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Faubert Peter R.

(Last) (First) (Middle)

C/O AWARE, INC.

76 BLANCHARD ROAD

(Street)

BURLINGTON MASSACHUSETTS 01803

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
AWARE INC /MA/ [ AWRE ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
07/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	07/01/2026		M		21,029	A	$0	181,448	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Peter R. Faubert	07/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did Aware (AWRE) director Peter R. Faubert report?

Peter R. Faubert reported exercising a derivative security to acquire 21,029 shares of Aware Common Stock. The Form 4 classifies this as an acquisition rather than an open-market trade, reflecting a change in his direct equity position through option or derivative exercise.

How many Aware (AWRE) shares does Peter R. Faubert hold after this Form 4?

Following the reported transaction, Peter R. Faubert directly holds 181,448 shares of Aware Common Stock. This figure represents his direct ownership position after exercising derivative securities to acquire 21,029 additional shares, as disclosed in the Form 4 filing.

Was the Aware (AWRE) Form 4 transaction a buy or a sell?

The Form 4 identifies the transaction as an acquisition through exercise or conversion of a derivative security, coded “M.” It is not labeled as an open-market buy or sell, but rather as a derivative exercise that increased Peter R. Faubert’s direct share holdings.

What does transaction code “M” mean in the Aware (AWRE) Form 4?

Transaction code “M” on the Form 4 indicates the exercise or conversion of a derivative security into Common Stock. In this case, it reflects Peter R. Faubert exercising derivatives to receive 21,029 Aware shares, which increased his direct ownership stake.

Were Peter R. Faubert’s Aware (AWRE) shares held directly or indirectly?

The Form 4 shows the transaction and resulting holdings as direct, using ownership code “D.” After exercising derivative securities, Peter R. Faubert directly owns 181,448 Aware Common Stock shares, with no indirect ownership structure indicated in the provided data.