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AUDIOEYE INC — Director's Dealing 2021
May 18, 2021
33790_dirs_2021-05-18_e7c6081f-1aea-40f5-801e-08dcc2c15b24.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AUDIOEYE INC (AEYE)
CIK: 0001362190
Period of Report: 2021-05-14
Reporting Person: Bettis Carr (Director, Exec Chrmn/Chrmn of the Board)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-14 | Common Stock | M | 4480 | $6.25 | Acquired | 430804 | Indirect |
| 2021-05-17 | Common Stock | S | 20000 | $16.1098 | Disposed | 410804 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-14 | Warrants (right to buy) | $6.25 | M | 4480 | Disposed | 2021-05-16 | Common Stock (4480) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 27593 | Indirect |
| Common Stock | 18600 | Indirect |
| Common Stock | 407314 | Direct |
Footnotes
F1: Dr. Bettis is deemed to be a beneficial owner of CSB IV US Holdings LLC.
F2: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2021.
F3: Reflects the weighted average price of 20,000 shares of common stock of AudioEye, Inc. sold in multiple transactions on May 17, 2021 with sale prices ranging from $15.90 to $16.555 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, fullinformation regarding the number of shares sold at each separate price.
F4: Dr. Bettis is deemed to be a beneficial owner of the J. Carr & Stephanie V. Bettis Revocable Trust, dated January 1, 2003.
F5: Dr. Bettis is deemed to be the beneficial owner of the Carr Bettis IRA.