Accession Number: | 0001179110-21-002071 |
Date: | 2021-01-15 |
Issuer: | AUDIOEYE INC (AEYE) |
Original Submission Date: |
SERO CAPITAL LLC
119 WASHINGTON AVE.
SUITE 403
MIAMI BEACH, FL 33139
MORADI DAVID
119 WASHINGTON AVE.
SUITE 403
MIAMI BEACH, FL 33139
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
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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. |