AI assistant
AUDIOEYE INC — Director's Dealing 2021
Jun 25, 2021
33790_dirs_2021-06-25_ef646331-2186-4dc6-8781-e1d4cb04af13.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AUDIOEYE INC (AEYE)
CIK: 0001362190
Period of Report: 2021-05-24
Reporting Person: Moradi David (Director, See Remarks, 10% Owner)
Reporting Person: Sero Capital LLC (Director, See Remarks, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-24 | Common Stock | C | 153888 | — | Acquired | 542223 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-24 | Series A Convertible Preferred Stock | $ | C | 50000 | Disposed | Common Stock (153888) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2731265 | Indirect |
Footnotes
F1: Each share of Series A Convertible Preferred Stock is convertible into that number of shares of common stock determined by dividing $10 plus any accrued dividends by the conversion price of $4.385.
F2: 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.
F3: The shares of Series A Convertible Preferred Stock were immediately convertible upon issuance and do not expire.