Form Type: 4

SEC EDGAR Link
Accession Number:0001179110-21-002071
Date:2021-01-15
Issuer: AUDIOEYE INC (AEYE)
Original Submission Date:

Reporting Person:

SERO CAPITAL LLC
119 WASHINGTON AVE.
SUITE 403 MIAMI BEACH, FL 33139

Reporting Person:

MORADI DAVID
119 WASHINGTON AVE.
SUITE 403 MIAMI BEACH, FL 33139

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-01-15 F 15,651 d $23.86 334,935 direct
COMMON STOCK 2021-02-18 X 4,000 a $6.25 338,935 direct
COMMON STOCK 2021-02-18 S 600 d $41.65 338,335 direct
COMMON STOCK 2021-01-15 0 $0.00 2,731,265 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
WARRANT (RIGHT TO BUY) 6.25 2021-02-18 deemed execution date X 4,000 (d) 2016-04-19 2021-04-19 common stock 4,000 $6.25 0 direct
Footnotes
IDfootnote
f1 number of shares withheld to cover withholding taxes associated with with the vesting of 55,000 shares of common stock subject to a performance share award previously granted to david moradi.
f2 securities of the issuer held directly by david moradi.
f3 on february 18, 2021, the reporting person exercised a warrant to purchase 4,000 shares of audioeeye, inc. common stock for $6.25 a share. the reporting person paid the exercise priceon a cashless basis, resulting in audioeeye, inc.'s withholding of 600 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 3,400 shares.
f4 securities of the issuer held directly by sero capital llc ("sero capital"). david moradi is the managing partner of sero capital and may be deemed to direct all voting and investment decisions made by sero capital.
f5 pursuant to instruction 4(c)(iii), this column is left blank.
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