Initial Statement of Beneficial Ownership (3)
March 08 2019 - 6:46PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Sternberg Lonny
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/27/2019
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3. Issuer Name
and
Ticker or Trading Symbol
AUDIOEYE INC [AEYE]
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(Last)
(First)
(Middle)
C/O AUDIOEYE, INC., 5210 E. WILLIAMS CIRCLE, SUITE 750
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Operating Officer /
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(Street)
TUCSON, AZ 85711
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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(1)
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10/20/2019
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Common Stock
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2800
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$15.25
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D
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Stock Option (right to buy)
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(2)
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3/12/2020
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Common Stock
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840
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$11.00
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D
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Stock Option (right to buy)
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(3)
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11/4/2020
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Common Stock
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1973
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$0.93
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D
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Stock Option (right to buy)
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(4)
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11/30/2020
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Common Stock
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2676
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$1.18
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D
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Stock Option (right to buy)
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(5)
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12/2/2021
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Common Stock
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2751
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$3.03
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D
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Stock Option (right to buy)
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(6)
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3/26/2023
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Common Stock
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10000
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$6.45
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D
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Explanation of Responses:
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(1)
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The stock option became exercisable as to 1,400 shares on the one-year anniversary of the date of grant (10/20/2015) and become exercisable as to the remaining 1,400 shares in 24 equal monthly installments commencing 11/20/2015 and continuing on the same day of each of the 23 months thereafter.
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(2)
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The stock option became exercisable as to 420 shares on the one-year anniversary of the date of grant (03/12/2016) and become exercisable as to the remaining 420 shares in 24 equal monthly installments commencing 04/12/2016 and continuing on the same day of each of the 23 months thereafter.
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(3)
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The stock option was granted on 11/04/2015 and became exercisable immediately.
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(4)
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The stock option became exercisable as to 1,338 shares on the one-year anniversary of the date of grant (11/30/2016) and became exercisable as to the remaining 1,338 shares in 24 equal monthly installments commencing 12/30/2016 and continuing on the same day of each of the 23 months thereafter.
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(5)
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The stock option became exercisable as to 1,375 shares in 12 equal monthly installments commencing 01/01/2017 and continuing on the same day of each of the 11 months thereafter and as to 688 shares in 12 equal monthly installments commencing 01/01/2018 and continuing on the same day of each of the 11 months thereafter. The stock option becomes exercisable as to the remaining 688 shares in 12 equal monthly installments commencing 01/01/2019 and continuing on the same day of each of the 11 months thereafter.
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(6)
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The stock option was granted on 03/26/2018 and became exercisable immediately.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Sternberg Lonny
C/O AUDIOEYE, INC.
5210 E. WILLIAMS CIRCLE, SUITE 750
TUCSON, AZ 85711
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Chief Operating Officer
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Signatures
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/s/ Lonny Sternberg
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3/8/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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