AWARE INC /MA/ 10-Q

ITEM 2: Unregistered Sales of Equity Securities and Use of Proceeds Issuer Purchases of Equity Securities On May 4, 2020, the Company announced that the board of directors had approved the repurchase of up to $10,000,000 of our common stock from time to time through December 31, 2021. During the three months ended March 31, 2021, we did not purchase any shares. As of March 31, 2021 the approximate dollar value of shares that may yet to be purchased under the plan is $9,294,247. 22 ITEM 6: Exhi bits (a) Exhibits Exhibit 3.1 Amended and Restated Articles of Organization, as amended (filed as Exhibit 3.1 to the Company’s Form 10-K for the year ended December 31, 2008 and incorporated herein by reference). Exhibit 3.2 Amended and Restated By-Laws (filed as Exhibit 3.1 to the Company’s Form 8-K filed with the Securities and Exchange Commission on December 10, 2007 and incorporated herein by reference). Exhibit 10.1* Aware, Inc. 2021 Executive Bonus Plan (described in the Company’s Form 8-K filed with the Securities and Exchange Commission on February 16, 2021 and incorporated herein by reference. Exhibit 31.1 Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 31.2 Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Exhibit 32.1 Certification of Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. Exhibit 101 The following financial statements from Aware, Inc.’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2021, formatted in XBRL (eXtensible Business Reporting Language), as follows: i) Consolidated Balance Sheets as of March 31, 2021 and December 31, 2020, ii) Consolidated Statements of Operations for the Three Months Ended March 31, 2021 and March 31, 2020, iii) Consolidated Statements of Cash Flows for the Three Months Ended March 31, 2021and March 31, 2020, iv) Consolidated Statements of Stockholders’ Equity for the Three Months Ended March 31, 2021and March 31, 2020, and v) Notes to Consolidated Financial Statements. * Management contract or compensatory plan 23 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. AWARE, INC. Date: April 28, 2021 By: /s/ Robert A. Eckel Robert A. Eckel Chief Executive Officer & President Date: April 28, 2021 By: /s/ David B. Barcelo David B. Barcelo Chief Financial Officer (Principal Financial and Accounting Officer) 24